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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
WIW
1
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$506M
$43.8M 14.34%
3,914,948
+2,653
+0.1% +$29.6K
JQC icon
2
Nuveen Credit Strategies Income Fund
JQC
$702M
$13.2M 4.33%
1,558,875
-17,297
-1% -$145K
WPM icon
3
Wheaton Precious Metals
WPM
$49.7B
$12.3M 4.03%
455,346
-6,192
-1% -$170K
RGLD icon
4
Royal Gold
RGLD
$16.6B
$9.88M 3.23%
127,573
+2,057
+2% +$165K
AFT
5
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$9.64M 3.15%
569,264
-5,356
-0.9% -$87.4K
WIA
6
Western Asset Inflation-Linked Income Fund
WIA
$185M
$8.78M 2.87%
766,988
-129,362
-14% -$1.49M
SAND
7
DELISTED
Sandstorm Gold
SAND
$8.04M 2.63%
1,599,234
-63,056
-4% -$353K
VTA
8
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$7.97M 2.61%
678,092
-2,484
-0.4% -$28.5K
FT
9
Franklin Universal Trust
FT
$198M
$7.7M 2.52%
1,132,740
-468,485
-29% -$3.23M
VVR icon
10
Invesco Senior Income Trust
VVR
$456M
$7.51M 2.46%
1,735,277
-12,000
-0.7% -$51.7K
BSCH
11
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$6.96M 2.28%
+306,717
New +$6.96M
EFF
12
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$6.67M 2.18%
426,174
-2,475
-0.6% -$38.1K
FRA icon
13
BlackRock Floating Rate Income Strategies Fund
FRA
$380M
$6.52M 2.13%
470,567
-4,807
-1% -$65K
SNR
14
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
$6.44M 2.11%
558,389
+133,347
+31% +$1.58M
MPT
15
Medical Properties Trust
MPT
$2.84B
$6.2M 2.03%
419,768
-65,970
-14% -$998K
PHD
16
DELISTED
Pioneer Floating Rate Fund
PHD
$5.6M 1.83%
474,791
-4,675
-1% -$53.6K
SABA
17
Saba Capital Income & Opportunities Fund II
SABA
$220M
$5.6M 1.83%
448,538
-78,364
-15% -$1M
STJ
18
DELISTED
St Jude Medical
STJ
$5.24M 1.72%
+65,720
New +$5.31M
SELF
19
Global Self Storage
SELF
$58.5M
$5.21M 1.71%
990,888
-22,260
-2% -$124K
UTF icon
20
Cohen & Steers Infrastructure Fund
UTF
$3.09B
$4.95M 1.62%
229,661
-101,440
-31% -$2.17M
DPG
21
Duff & Phelps Utility and Infrastructure Fund
DPG
$524M
$4.88M 1.6%
285,769
-137,120
-32% -$2.35M
NOK icon
22
Nokia
NOK
$46.9B
$4.79M 1.57%
+826,969
New +$4.7M
BRW
23
Saba Capital Income & Opportunities Fund
BRW
$336M
$4.74M 1.55%
448,813
-3,423
-0.8% -$35.7K
SCHR
24
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$4.67M 1.53%
168,088
+152,180
+957% +$4.23M
GROW icon
25
US Global Investors
GROW
$36.3M
$4.61M 1.51%
2,505,162
-42,510
-2% -$87K
1
2 3 4 5

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LA
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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
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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.