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FIMG

Financial & Investment Management Group Portfolio holdings

AUM $274M
1-Year Est. Return 8.43%
This Fund
S&P 500
This Quarter Est. Return
+4.03%
1 Year Est. Return
-8.43%
3 Year Est. Return
+18.93%
5 Year Est. Return
-0.98%
10 Year Est. Return
–
AUM
$306M
AUM Growth
-$22.4M
Cap. Flow
-$35.8M
Cap. Flow %
-11.73%
Top 10 Hldgs %
42.17%
Holding
107
New
10
Increased
12
Reduced
66
Closed
11

Top Buys

Rank Stock Value
1
BSCH
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
+$6.96M
2
STJ
St Jude Medical
STJ
+$5.31M
3
NOK icon
Nokia
NOK
+$4.7M
4
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$4.23M
5
BSCG
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
+$3.55M

Top Sells

Rank Stock Value
1
FOF icon
Cohen & Steers Closed End Opportunity Fund
FOF
+$12.3M
2
GAIA icon
Gaia
GAIA
+$7.93M
3
NGD
New Gold Inc
NGD
+$5.7M
4
DHC
Diversified Healthcare Trust
DHC
+$5M
5
GPT
Gramercy Property Trust
GPT
+$4.57M

Sector Composition

Rank Sector Weight
1 Materials 10.3%
2 Real Estate 7.27%
3 Financials 3.82%
4 Communication Services 3.31%
5 Utilities 3.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GAIA icon
26
Gaia
GAIA
$48.4M
$4.54M 1.48%
629,984
-1,010,667
-62% -$7.93M
STKL
27
DELISTED
SunOpta
STKL
$4.3M 1.41%
608,752
-68,320
-10% -$414K
MMT
28
Aberdeen Multi-Market Income Fund
MMT
$243M
$4.15M 1.36%
681,787
-644,062
-49% -$3.95M
LXP icon
29
LXP Industrial Trust
LXP
$3.57B
$3.99M 1.31%
77,532
-993
-1% -$52.4K
BWG
30
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$3.85M 1.26%
283,371
-5,395
-2% -$72.9K
RMT
31
Royce Micro-Cap Trust
RMT
$761M
$3.57M 1.17%
457,036
-258,399
-36% -$2M
BSCG
32
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
$3.55M 1.16%
+161,022
New +$3.55M
GOOG icon
33
Alphabet (Google) Class C
GOOG
$4.32T
$3.48M 1.14%
89,580
-3,600
-4% -$137K
CVA
34
DELISTED
Covanta Holding Corporation
CVA
$3.45M 1.13%
224,430
-2,680
-1% -$41.7K
GWRS icon
35
Global Water Resources
GWRS
$219M
$3M 0.98%
+373,929
New +$3.08M
FOF icon
36
Cohen & Steers Closed End Opportunity Fund
FOF
$380M
$2.68M 0.88%
218,171
-1,021,341
-82% -$12.3M
SHY icon
37
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$2.47M 0.81%
29,075
+23,775
+449% +$2.02M
GDL
38
GDL Fund
GDL
$92.1M
$2.43M 0.8%
244,558
+63,045
+35% +$627K
DHC
39
Diversified Healthcare Trust
DHC
$2.14B
$2.42M 0.79%
106,543
-226,064
-68% -$5M
DIS icon
40
Walt Disney
DIS
$181B
$2.1M 0.69%
+22,564
New +$2.16M
TURN
41
DELISTED
180 Degree Capital
TURN
$1.93M 0.63%
461,723
-17,400
-4% -$79.7K
LOR
42
DELISTED
Lazard World Dividend & Income Fund, Inc.
LOR
$1.89M 0.62%
186,709
-1,232
-0.7% -$11.9K
GLO
43
Clough Global Opportunities Fund
GLO
$257M
$1.78M 0.58%
+184,307
New +$1.78M
TIVO
44
DELISTED
TIVO INC
TIVO
$1.73M 0.56%
88,586
-81,649
-48% -$863K
SPE
45
Special Opportunities Fund
SPE
$143M
$1.65M 0.54%
115,714
-32,821
-22% -$454K
PRMW
46
DELISTED
Primo Water Corporation
PRMW
$1.62M 0.53%
113,619
-74,016
-39% -$1.13M
ES icon
47
Eversource Energy
ES
$27.2B
$1.62M 0.53%
29,860
– –
BTZ icon
48
BlackRock Credit Allocation Income Trust
BTZ
$956M
$1.58M 0.52%
118,594
-476
-0.4% -$6.34K
ERC
49
Allspring Multi-Sector Income Fund
ERC
$259M
$1.51M 0.49%
116,326
-1,496
-1% -$19.3K
EMI
50
DELISTED
Eaton Vance Michigan Municipal Income Trust
EMI
$1.31M 0.43%
92,810
-12,500
-12% -$179K
1
2
3 4 5

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CPIM
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Financial & Investment Management Group's Q3 2016 Portfolio in Review

As of Q3 2016, Financial & Investment Management Group held 107 positions worth $306M, down 6.8% from $328M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Financial & Investment Management Group withdrew a net $35.8M in Q3 2016, closing 11 positions and reducing 66 holdings. Its most notable exit was Western Asset Corporate Loan Fund Inc., an estimated $3.74M position sold in full.

By sector, the portfolio is most concentrated in Materials at 10% of assets, up from 10% a quarter earlier, followed by Real Estate and Financials.

Against the trend, Financial & Investment Management Group opened a new position in Guggenheim BulletShares 2017 Corporate Bond ETF worth $6.96M.

  • Financial & Investment Management Group's largest Q3 2016 buy was Guggenheim BulletShares 2017 Corporate Bond ETF: 306,717 shares worth $6.96M.
  • Financial & Investment Management Group added most to Schwab Intermediately-Term US Treasury ETF in Q3 2016, an estimated $4.23M increase.
  • Financial & Investment Management Group's biggest Q3 2016 reduction was Cohen & Steers Closed End Opportunity Fund, cutting an estimated $12.3M.
  • Financial & Investment Management Group fully exited Western Asset Corporate Loan Fund Inc. in Q3 2016, selling an estimated $3.74M.
  • Financial & Investment Management Group's ten largest holdings make up 42% of its $306M portfolio in Q3 2016.
  • Financial & Investment Management Group opened 10 new positions and closed 11 in Q3 2016.
  • Financial & Investment Management Group's portfolio value fell 6.8% quarter-over-quarter to $306M.

Based on Financial & Investment Management Group's 13F filing for Q3 2016, filed 17 Oct 2016.