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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
CHW
51
Calamos Global Dynamic Income Fund
CHW
$555M
$1.28M 0.42%
170,124
-13,636
-7% -$100K
EOD
52
Allspring Global Dividend Opportunity Fund
EOD
$286M
$1.24M 0.41%
213,412
-429,696
-67% -$2.56M
VER
53
DELISTED
VEREIT, Inc.
VER
$1.22M 0.4%
23,503
-68,163
-74% -$3.55M
RGT
54
Royce Global Value Trust
RGT
$102M
$1.14M 0.37%
140,418
-42,437
-23% -$337K
BTG icon
55
B2Gold
BTG
$6.68B
$1.09M 0.36%
413,315
-12,740
-3% -$37.8K
AC
56
DELISTED
Associated Capital Group
AC
$1.08M 0.35%
+30,637
New +$965K
BRK.B icon
57
Berkshire Hathaway Class B
BRK.B
$1.14T
$1.06M 0.35%
7,352
+40
+0.5% +$5.85K
FAST icon
58
Fastenal
FAST
$59.8B
$1M 0.33%
96,248
-5,928
-6% -$63.1K
CL icon
59
Colgate-Palmolive
CL
$74.3B
$905K 0.3%
12,200
– –
CGO
60
Calamos Global Total Return Fund
CGO
$130M
$894K 0.29%
78,143
+20,462
+35% +$232K
NUM
61
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
$894K 0.29%
60,653
-600
-1% -$9.13K
PG icon
62
Procter & Gamble
PG
$340B
$811K 0.27%
9,039
-151
-2% -$13.1K
RVT icon
63
Royce Value Trust
RVT
$2.29B
$795K 0.26%
62,834
-16,069
-20% -$201K
RNP icon
64
Cohen & Steers REIT and Preferred and Income Fund
RNP
$980M
$786K 0.26%
39,014
-12,900
-25% -$269K
AAPL icon
65
Apple
AAPL
$4.5T
$770K 0.25%
27,228
-1,292
-5% -$34.2K
SBW
66
DELISTED
Western Asset Worldwide Income
SBW
$767K 0.25%
66,075
-283
-0.4% -$3.26K
GGZ
67
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$127M
$710K 0.23%
65,672
+375
+0.6% +$4.03K
LOV
68
DELISTED
Spark Networks SE American Depositary Shares
LOV
$698K 0.23%
441,477
-17,600
-4% -$29.2K
DTE icon
69
DTE Energy
DTE
$28.5B
$675K 0.22%
8,461
– –
NSL
70
DELISTED
NUVEEN SENIOR INCM FD
NSL
$658K 0.22%
100,629
– –
GLV
71
Clough Global Dividend & Income Fund
GLV
$78.2M
$646K 0.21%
53,321
+3,947
+8% +$47.4K
ED icon
72
Consolidated Edison
ED
$39.3B
$628K 0.21%
8,343
– –
FNGN
73
DELISTED
Financial Engines, Inc.
FNGN
$610K 0.2%
20,520
-1,725
-8% -$50.1K
SPE.PRB
74
DELISTED
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
$571K 0.19%
+22,142
New +$569K
AWP
75
abrdn Global Premier Properties Fund
AWP
$363M
$552K 0.18%
33,170
-87,761
-73% -$1.49M
1 2
3
4 5

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LA
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CHA
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CPIM
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REFI
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VAM
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HCG
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PC
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PPC
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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.