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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
SEVN
101
Seven Hills Realty Trust
SEVN
$170M
– –
-190,318
Closed –
VIPS icon
102
Vipshop
VIPS
$7.4B
– –
-33,940
Closed -$379K
TLI
103
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
– –
-361,217
Closed -$3.74M
GOV
104
DELISTED
Government Properties Income Trust
GOV
– –
-27,605
Closed -$637K
BDMS
105
DELISTED
BIRNER DENTAL MGMT SVCS INC
BDMS
– –
-59,609
Closed -$864K
DCA
106
DELISTED
Virtus Total Return Fund
DCA
– –
-85,650
Closed -$397K
1 2 3 4
5

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CHA
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CPIM
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REFI
Requisite Energy Fund I Dallas, Texas $256M AUM
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.