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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
GLU
76
Gabelli Utility & Income Trust
GLU
$116M
$476K 0.16%
25,998
-180
-0.7% -$3.31K
EVG
77
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$452K 0.15%
32,973
-392
-1% -$5.34K
STEW
78
SRH Total Return Fund
STEW
$1.82B
$418K 0.14%
49,934
-1,567
-3% -$13.2K
WBA
79
DELISTED
Walgreens Boots Alliance
WBA
$404K 0.13%
5,011
– –
GPT
80
DELISTED
Gramercy Property Trust
GPT
$372K 0.12%
12,853
-157,935
-92% -$4.57M
GGN
81
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$837M
$345K 0.11%
54,001
-7,090
-12% -$46.4K
BOE icon
82
BlackRock Enhanced Global Dividend Trust
BOE
$691M
$334K 0.11%
27,297
+1,514
+6% +$18.3K
IBM icon
83
IBM
IBM
$223B
$307K 0.1%
2,023
+14
+0.7% +$2.13K
IGR
84
CBRE Global Real Estate Income Fund
IGR
$707M
$286K 0.09%
34,087
-5,700
-14% -$47.9K
UNH icon
85
UnitedHealth
UNH
$371B
$241K 0.08%
1,721
– –
MSF
86
DELISTED
Morgan Stanley Emerging Mkts Fd
MSF
$241K 0.08%
16,568
-378
-2% -$5.36K
DRA
87
DELISTED
Diversified Real Asset Income Fd
DRA
$240K 0.08%
13,935
-2,574
-16% -$44.2K
APF
88
DELISTED
Morgan Stanley Asia Pacific Fund
APF
$238K 0.08%
15,767
-390
-2% -$5.7K
TDF
89
Templeton Dragon Fund
TDF
$281M
$236K 0.08%
13,374
-545
-4% -$9.83K
JRO
90
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$169K 0.06%
+15,275
New +$163K
CSQ icon
91
Calamos Strategic Total Return Fund
CSQ
$3.37B
$165K 0.05%
16,022
-540
-3% -$5.61K
DDC
92
DELISTED
Dominion Diamond Corporation
DDC
$98K 0.03%
10,100
-2
-0% -$18
JVA icon
93
Coffee Holding Co
JVA
$19.9M
$65K 0.02%
11,675
-1,500
-11% -$8.53K
NGD
94
DELISTED
New Gold Inc
NGD
$64K 0.02%
14,725
-1,142,963
-99% -$5.7M
AEG icon
95
Aegon
AEG
$14B
$49K 0.02%
16,445
-48
-0.3% -$143
GDO
96
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.3M
– –
-29,980
Closed -$511K
MCN
97
Madison Covered Call & Equity Strategy Fund
MCN
$119M
– –
-50,327
Closed -$386K
MCR
98
DELISTED
MFS Charter Income Trust
MCR
– –
-12,950
Closed -$110K
PFE icon
99
Pfizer
PFE
$154B
– –
-8,727
Closed -$292K
PIM
100
Franklin Master Intermediate Income Trust
PIM
$153M
– –
-10,355
Closed -$45K
1 2 3
4
5

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CHA
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CPIM
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REFI
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VAM
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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.