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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
-0.22%
1 Year Est. Return
-8.43%
3 Year Est. Return
+18.93%
5 Year Est. Return
-0.98%
10 Year Est. Return
–
AUM
$261M
AUM Growth
+$81M
Cap. Flow
+$80.8M
Cap. Flow %
30.96%
Top 10 Hldgs %
50.97%
Holding
94
New
23
Increased
31
Reduced
26
Closed
8

Top Buys

Rank Stock Value
1
PDT
John Hancock Premium Dividend Fund
PDT
+$15.6M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$13.8M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$6.63M
4
WIW
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
+$6.2M
5
BCF
BLACKROCK REAL ASSET EQUITY TRUST
BCF
+$6.17M

Top Sells

Rank Stock Value
1
UNTD
UNITED ONLINE INC COM NEW
UNTD
+$9.7M
2
VOD icon
Vodafone
VOD
+$7.07M
3
NEM icon
Newmont
NEM
+$4.87M
4
CSP
AMER STRATEGIC INCM PTFL-III
CSP
+$3.93M
5
KGC icon
Kinross Gold
KGC
+$3.19M

Sector Composition

Rank Sector Weight
1 Materials 6.11%
2 Communication Services 3.92%
3 Financials 2.62%
4 Utilities 2.25%
5 Real Estate 1.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACG
1
DELISTED
AllianceBernstein Income Fund Inc
ACG
$31M 11.87%
4,402,317
+1,946,381
+79% +$13.8M
WIW
2
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$506M
$24.5M 9.39%
2,112,287
+531,508
+34% +$6.2M
BTZ icon
3
BlackRock Credit Allocation Income Trust
BTZ
$927M
$18.9M 7.26%
1,452,842
+119,834
+9% +$1.51M
PDT
4
John Hancock Premium Dividend Fund
PDT
$635M
$17M 6.52%
1,421,025
+1,241,716
+693% +$15.6M
GAIA icon
5
Gaia
GAIA
$46.6M
$9.04M 3.46%
1,803,997
-25,803
-1% -$131K
MTS
6
DELISTED
MONTGOMERY STR INCOME SECS
MTS
$8.16M 3.13%
519,166
+116,802
+29% +$1.84M
ERC
7
Allspring Multi-Sector Income Fund
ERC
$251M
$6.61M 2.53%
+467,777
New +$6.63M
FTT
8
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$6.24M 2.39%
485,032
+163,202
+51% +$2.09M
BCF
9
DELISTED
BLACKROCK REAL ASSET EQUITY TRUST
BCF
$6.15M 2.36%
+684,591
New +$6.17M
FT
10
Franklin Universal Trust
FT
$198M
$5.38M 2.06%
786,962
+628,564
+397% +$4.34M
GROW icon
11
US Global Investors
GROW
$36.3M
$5.31M 2.03%
1,855,527
+285
+0% +$805
MCN
12
Madison Covered Call & Equity Strategy Fund
MCN
$117M
$5.18M 1.98%
+653,190
New +$5.25M
AEC
13
DELISTED
ASSOCIATED ESTATES REALTY CORP
AEC
$5.05M 1.93%
+338,727
New +$5.15M
SLA
14
DELISTED
AMERICAN SELECT PTFL INC
SLA
$5.03M 1.93%
523,561
+376,123
+255% +$3.64M
DCA
15
DELISTED
Virtus Total Return Fund
DCA
$5.03M 1.93%
1,276,802
+366,894
+40% +$1.43M
RIO icon
16
Rio Tinto
RIO
$152B
$4.93M 1.89%
+101,098
New +$4.72M
JHP
17
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$4.61M 1.77%
+584,721
New +$4.68M
WPM icon
18
Wheaton Precious Metals
WPM
$49.7B
$4.57M 1.75%
184,536
+902
+0.5% +$21.5K
SGL
19
DELISTED
STRATEGIC GLOBAL INCOME FUND
SGL
$4.17M 1.6%
448,409
+59,211
+15% +$542K
DDC
20
DELISTED
Dominion Diamond Corporation
DDC
$4.14M 1.59%
339,655
+46,425
+16% +$626K
HE icon
21
Hawaiian Electric Industries
HE
$2.26B
$3.93M 1.51%
156,694
+572
+0.4% +$14.7K
FAST icon
22
Fastenal
FAST
$54.8B
$3.55M 1.36%
282,556
-104
-0% -$1.23K
VER
23
DELISTED
VEREIT, Inc.
VER
$3.44M 1.32%
+56,359
New +$3.84M
BSP
24
DELISTED
AMERN STRATEGIC INCM PORTF II
BSP
$3.38M 1.3%
+417,426
New +$3.35M
CSI
25
DELISTED
Cutwater Select Income Fund
CSI
$3.25M 1.25%
182,970
+151,074
+474% +$2.69M
1
2 3 4

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LA
Leonetti & Associates Buffalo Grove, Illinois $272M AUM 4.82% 1-Year Est. Return
CHA
Cedar Hill Associates Chicago, Illinois $261M AUM 7.91% 1-Year Est. Return
CPIM
Columbia Partners Investment Management Alexandria, Virginia $257M AUM 8.17% 1-Year Est. Return
REFI
Requisite Energy Fund I Dallas, Texas $256M AUM
VAM
Visionary Asset Management Houston, Texas $252M AUM 3.81% 1-Year Est. Return
HCG
HNA Capital Group Haikou, China $243M AUM 36.37% 1-Year Est. Return
PC
Palo Capital Newport Beach, California $236M AUM 5.33% 1-Year Est. Return
PPC
Precision Path Capital New York $233M AUM

Financial & Investment Management Group's Q3 2013 Portfolio in Review

As of Q3 2013, Financial & Investment Management Group held 94 positions worth $261M, up 45% from $180M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Financial & Investment Management Group deployed $80.8M of net new capital in Q3 2013, opening 23 new positions and adding to 31 existing holdings. Its largest new stake was Allspring Multi-Sector Income Fund: 467,777 shares worth $6.61M.

By sector, the portfolio is most concentrated in Materials at 6.1% of assets, down from 8.8% a quarter earlier, followed by Communication Services and Financials.

On the sell side, the largest reduction was AMER STRATEGIC INCM PTFL-III, an estimated $3.93M trimmed.

  • Financial & Investment Management Group's largest Q3 2013 buy was Allspring Multi-Sector Income Fund: 467,777 shares worth $6.61M.
  • Financial & Investment Management Group added most to John Hancock Premium Dividend Fund in Q3 2013, an estimated $15.6M increase.
  • Financial & Investment Management Group's biggest Q3 2013 reduction was AMER STRATEGIC INCM PTFL-III, cutting an estimated $3.93M.
  • Financial & Investment Management Group fully exited UNITED ONLINE INC COM NEW in Q3 2013, selling an estimated $9.7M.
  • Financial & Investment Management Group's ten largest holdings make up 51% of its $261M portfolio in Q3 2013.
  • Financial & Investment Management Group opened 23 new positions and closed 8 in Q3 2013.
  • Financial & Investment Management Group's portfolio value rose 45% quarter-over-quarter to $261M.

Based on Financial & Investment Management Group's 13F filing for Q3 2013, filed 21 Oct 2013.