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Financial & Investment Management Group LTD Historical SEC 13F Holdings & Archive (Q4 2018)
Financial & Investment Management Group LTDCIK: 0001051042
Diversified strategyMomentum followerSector-focused
Total reported value
$274.2M
Reporting period: 2018-12-31 · Number of holdings: 124
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD disclosed 124 holdings in its latest 13F filing for the period ending 2018-12-31, with total reported value of $274.2M and a quarterly turnover rate of 56.0%.
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Personality snowflake
- Concentration
- 7.99
- Portfolio Stability
- 56.03
- Momentum
- 100
- Sector conviction
- 92.75
- Diversification
- 100
- Sizing Uniformity
- 87.88
Financial & Investment Management Group LTD's disclosed holdings carry a Herfindahl concentration index of 0.020 — mathematically equivalent to about 50 equally-sized positions, well below its 124 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.21), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 10% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim SCHP
-63.2% -$10.6M
Add BTZ
+77.9% $6.4M
Trim SCHR
-95.5% -$4.4M
Trim SPTL
-82.0% -$3.3M
Trim ZROZ
-78.4% -$3.0M
Add APO
+344.1% $2.5M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 123 holdings (of 124 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | BTZ | Blackrock Credit Allocation | Stock-Other | 6.11% | +2.71% | +77.93% | |
| 2 | FT | Franklin Universal Trust | Stock-Other | 4.07% | — | +8.69% | |
| 3 | TDF | Templeton Dragon Fund, Inc. | Stock-Other | 3.57% | +0.83% | +19.29% | |
| 4 | ✓ | Stock-Other | 3.36% | -0.50% | -6.86% | ||
| 5 | XJQCX | Nuveen Credit Strategies Inc | Stock-Other | 3.23% | -0.23% | -9.04% | |
| 6 | WIW | Western Asst Infl-lnk Opp | Stock-Other | 2.61% | +2.61% | NEW | |
| 7 | MRK | Merck & Co. Inc. | Stock-Healthcare | 2.55% | — | -11.31% | |
| 8 | BWG | Brandywineglobal Global Inco | Stock-Other | 2.36% | +0.58% | +25.98% | |
| 9 | BRX | Brixmor Property Group Inc | Stock-Real Estate | 2.36% | -0.48% | -10.60% | |
| 10 | VOYA | Voya Financial, Inc. | Stock-Financials | 2.32% | — | +13.29% | |
| 11 | SCHP | Schwab U.s. Tips ETF | ETF-Other | 2.21% | -3.28% | -63.21% | |
| 12 | ARCPEUR | Vereit Inc | Stock-Other | 2.19% | — | -8.91% | |
| 13 | AYS1 | Sandstorm Gold LTD | Stock-Other | 2.17% | — | -10.00% | |
| 14 | SMHC | VanEck China Semiconductor ETF | ETF-Emerging Markets | 2.15% | +0.46% | +28.41% | |
| 15 | OMC | Omnicom Group | Stock-Comm Services | 2.04% | — | -9.38% | |
| 16 | BGT | Blackrock Fltng Rt Inc Tr | Stock-Other | 2.02% | +2.02% | NEW | |
| 17 | VVR | Invesco Senior Income Trust | Stock-Other | 1.77% | — | +25.59% | |
| 18 | PHG | Koninklijke Philips Nvr- Ny | Stock-Healthcare | 1.77% | +0.55% | +69.55% | |
| 19 | KIM | Kimco Realty CORP | Stock-Real Estate | 1.66% | -0.25% | -10.53% | |
| 20 | UNIT | Uniti Group Inc. | Stock-Other | 1.56% | -0.50% | -11.60% | |
| 21 | ARRYEUR | Array Biopharma Inc | Stock-Other | 1.54% | -0.13% | -11.65% | |
| 22 | DIS | Walt Disney Co/the | Stock-Comm Services | 1.46% | -0.14% | -12.04% | |
| 23 | WPM | Wheaton Precious Metals CORP | Stock-Materials | 1.42% | — | -9.14% | |
| 24 | VOD | Vodafone Group Plc-sp Adr | Stock-Comm Services | 1.41% | +0.39% | +40.36% | |
| 25 | DSL | Doubleline Income Solutions | Stock-Other | 1.37% | +1.37% | NEW | |
| 26 | REGN | Regeneron Pharmaceuticals | Stock-Healthcare | 1.28% | -0.12% | -10.53% | |
| 27 | AQN | Algonquin Power & Utilities | Stock-Other | 1.26% | — | -8.43% | |
| 28 | BCBEUR | Primo Water CORP | Stock-Other | 1.24% | — | +5.60% | |
| 29 | XFRAX | Blackrock Fltng Rt Inc Strat | Stock-Other | 1.23% | +1.23% | NEW | |
| 30 | APO | Apollo Global Management, Inc. | Stock-Financials | 1.21% | +0.94% | +344.13% | |
| 31 | NXPI | NXP Semiconductors N.V. | Stock-Tech | 1.18% | — | +3.65% | |
| 32 | T | At&t Inc | Stock-Comm Services | 1.16% | -0.19% | -9.31% | |
| 33 | VZ | Verizon Communications Inc | Stock-Comm Services | 1.13% | — | -10.11% | |
| 34 | FSP | Franklin Street Properties C | Stock-Other | 1.13% | -0.34% | -11.13% | |
| 35 | SBI | Western Asset Intermediate | Stock-Other | 1.08% | +1.08% | NEW | |
| 36 | GDO | Western Ast Glb CORP Opprnty | Stock-Other | 1.07% | +0.74% | +216.24% | |
| 37 | HASI | Ha Sustainable Infrastructur | Stock-Financials | 1.06% | -0.46% | -29.39% | |
| 38 | GDL | Gdl Fund | Stock-Other | 1.05% | — | -13.66% | |
| 39 | XPHDX | Pioneer Floating Rate Fund | Stock-Other | 1.05% | +1.05% | NEW | |
| 40 | GWRS | Global Water Resources Inc | Stock-Other | 1.05% | -0.27% | -24.72% | |
| 41 | NUE | Nucor CORP | Stock-Materials | 0.98% | +0.56% | +157.54% | |
| 42 | PH | Parker Hannifin CORP | Stock-Industrials | 0.95% | +0.95% | NEW | |
| 43 | OREUR | Osisko Gold Royalties LTD | Stock-Other | 0.94% | — | -8.38% | |
| 44 | IEF | Ishares 7-10 Year Treasury B | ETF-Gov Bonds | 0.91% | — | -22.48% | |
| 45 | MYI | Blackrock Muniyield Qlty Iii | Stock-Other | 0.91% | +0.91% | NEW | |
| 46 | SHY | Ishares 1-3 Year Treasury Bo | ETF-Gov Bonds | 0.88% | — | -23.42% | |
| 47 | GPRCHF | Great Panther Mining LTD | Stock-Other | 0.83% | -0.30% | -20.98% | |
| 48 | NZF | Nuveen Municipal Credit Income Fund | Stock-Other | 0.79% | — | +38.81% | |
| 49 | XMUIX | Blackrock Municipal Income | Stock-Other | 0.78% | +0.78% | NEW | |
| 50 | OPP | Rivernrth/doublelne Str Opp | Stock-Other | 0.71% | +0.71% | NEW |
1–50 of 123
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2018 Q4 | 124 | $274.2M | 56 | ||
| 2018 Q3 | 114 | $303.8M | 27 | ||
| 2018 Q2 | 103 | $316.5M | 20 | ||
| 2018 Q1 | 97 | $311.2M | 49 | ||
| 2017 Q4 | 84 | $288.5M | 53 | ||
| 2017 Q3 | 86 | $302.6M | 31 | ||
| 2017 Q2 | 82 | $273.6M | 46 | ||
| 2017 Q1 | 94 | $295.8M | 55 | ||
| 2016 Q4 | 95 | $259.4M | 55 | ||
| 2016 Q3 | 96 | $305.6M | 37 | ||
| 2016 Q2 | 98 | $328.0M | 24 | ||
| 2016 Q1 | 106 | $374.9M | 30 | ||
| 2015 Q4 | 117 | $359.2M | 40 | ||
| 2015 Q3 | 124 | $359.2M | 43 | ||
| 2015 Q2 | 129 | $388.2M | 27 | ||
| 2015 Q1 | 130 | $410.4M | 39 | ||
| 2014 Q4 | 117 | $377.4M | 54 | ||
| 2014 Q3 | 113 | $339.3M | 32 | ||
| 2014 Q2 | 105 | $350.0M | 22 | ||
| 2014 Q1 | 116 | $342.5M | 25 | ||
| 2013 Q4 | 120 | $318.5M | 47 | ||
| 2013 Q3 | 86 | $261.0M | 73 | ||
| 2013 Q2 | 71 | $180.0M | 0 |
Holding changes this quarter
Financial & Investment Management Group LTD's most significant position changes for 2018-12-31: Sold out: Schwab Short-term US Treas (SCHO); Sold out: Invesco Bulletshares 2020 Hi (BSJK); New buy: Western Asst Infl-lnk Opp (WIW); Sold out: Medical Properties Trust Inc (MPT); Sold out: Nokia Corp-spon Adr (NOK).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | BTZ | Blackrock Credit Allocation | +2.7% | +77.93% | Add |
| 2 | APO | Apollo Global Management, Inc. | +0.9% | +344.13% | Add |
| 3 | TDF | Templeton Dragon Fund, Inc. | +0.8% | +19.29% | Add |
| 4 | GDO | Western Ast Glb CORP Opprnty | +0.7% | +216.24% | Add |
| 5 | BWG | Brandywineglobal Global Inco | +0.6% | +25.98% | Add |
| 6 | NUE | Nucor CORP | +0.6% | +157.54% | Add |
| 7 | PHG | Koninklijke Philips Nvr- Ny | +0.6% | +69.55% | Add |
| 8 | SMHC | VanEck China Semiconductor ETF | +0.5% | +28.41% | Add |
| 9 | SGOL | abrdn Physical Gold Shares ETF | +0.5% | +189.01% | Add |
| 10 | AAPL | Apple Inc | +0.4% | +315.98% | Add |
| 11 | VOD | Vodafone Group Plc-sp Adr | +0.4% | +40.36% | Add |
| 12 | REGN | Regeneron Pharmaceuticals | -0.1% | -10.53% | Trim |
| 13 | ARRYEUR | Array Biopharma Inc | -0.1% | -11.65% | Trim |
| 14 | DIS | Walt Disney Co/the | -0.1% | -12.04% | Trim |
| 15 | T | At&t Inc | -0.2% | -9.31% | Trim |
| 16 | XJQCX | Nuveen Credit Strategies Inc | -0.2% | -9.04% | Trim |
| 17 | KIM | Kimco Realty CORP | -0.3% | -10.53% | Trim |
| 18 | GWRS | Global Water Resources Inc | -0.3% | -24.72% | Trim |
| 19 | GPRCHF | Great Panther Mining LTD | -0.3% | -20.98% | Trim |
| 20 | FSP | Franklin Street Properties C | -0.3% | -11.13% | Trim |
| 21 | HASI | Ha Sustainable Infrastructur | -0.5% | -29.39% | Trim |
| 22 | AGIO | Agios Pharmaceuticals Inc | -0.5% | -11.48% | Trim |
| 23 | BRX | Brixmor Property Group Inc | -0.5% | -10.60% | Trim |
| 24 | ✓ | -0.5% | -6.86% | Trim | |
| 25 | UNIT | Uniti Group Inc. | -0.5% | -11.60% | Trim |
| 26 | ✓ | Sequential Brnds Group Inc | -0.5% | -82.13% | Trim |
| 27 | ZROZ | Pimco 25+ Yr Zero Cpn US Tif | -1% | -78.42% | Trim |
| 28 | SPTL | Ss Spdr Pf Lng Trm Tsy E-usd | -1.1% | -81.99% | Trim |
| 29 | SCHR | Schwab Intermediate-term US | -1.4% | -95.54% | Trim |
| 30 | SCHP | Schwab U.s. Tips ETF | -3.3% | -63.21% | Trim |
| 31 | SCHO | Schwab Short-term US Treas | — | EXIT | Sold out |
| 32 | BSJK | Invesco Bulletshares 2020 Hi | — | EXIT | Sold out |
| 33 | WIW | Western Asst Infl-lnk Opp | — | NEW | New buy |
| 34 | MPT | Medical Properties Trust Inc | — | EXIT | Sold out |
| 35 | NOK | Nokia Corp-spon Adr | — | EXIT | Sold out |
| 36 | BGT | Blackrock Fltng Rt Inc Tr | — | NEW | New buy |
| 37 | HN9 | Hanesbrands Inc | — | EXIT | Sold out |
| 38 | DSL | Doubleline Income Solutions | — | NEW | New buy |
| 39 | XFRAX | Blackrock Fltng Rt Inc Strat | — | NEW | New buy |
| 40 | SBI | Western Asset Intermediate | — | NEW | New buy |
| 41 | XPHDX | Pioneer Floating Rate Fund | — | NEW | New buy |
| 42 | PH | Parker Hannifin CORP | — | NEW | New buy |
| 43 | MYI | Blackrock Muniyield Qlty Iii | — | NEW | New buy |
| 44 | XMUIX | Blackrock Municipal Income | — | NEW | New buy |
| 45 | OPP | Rivernrth/doublelne Str Opp | — | NEW | New buy |
| 46 | ✓ | Eaton Vance Mi Muni Income T | — | EXIT | Sold out |
| 47 | EVN | Eaton Vance Muni Inc Tr | — | NEW | New buy |
| 48 | EFF | Eaton Vance Floating-rate In | — | NEW | New buy |
| 49 | BTT | Blackrock 2030 Muni Trgt Trm | — | NEW | New buy |
| 50 | MCD | Mcdonald's CORP | — | EXIT | Sold out |
Filing History
FAQ
What is Financial & Investment Management Group LTD and what type of investor is it?
Financial & Investment Management Group LTD is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2018-12-31), the firm manages a tracked equity portfolio valued at approximately $274.2M, spread across 124 disclosed positions.
What are Financial & Investment Management Group LTD's largest equity positions?
Based on the latest 13F filing, Financial & Investment Management Group LTD's top holdings by market value are:
1. Blackrock Credit Allocation (BTZ) — $16.8M (6.1%)
2. Franklin Universal Trust (FT) — $11.1M (4.1%)
3. Templeton Dragon Fund, Inc. (TDF) — $9.8M (3.6%)
4. — $9.2M (3.4%)
5. Nuveen Credit Strategies Inc (XJQCX) — $8.9M (3.2%)
What changes did Financial & Investment Management Group LTD make in its most recent portfolio filing?
In the latest reported quarter, Financial & Investment Management Group LTD made 50 notable position adjustments: 13 new positions were initiated, 11 existing holdings were added to, 19 positions were partially reduced, and 7 were completely exited. The largest of these moves: Sold out: Schwab Short-term US Treas (SCHO); Sold out: Invesco Bulletshares 2020 Hi (BSJK); New buy: Western Asst Infl-lnk Opp (WIW); Sold out: Medical Properties Trust Inc (MPT); Sold out: Nokia Corp-spon Adr (NOK)
What sectors does Financial & Investment Management Group LTD focus on?
Financial & Investment Management Group LTD is concentrated in the following sectors based on its current disclosed equity portfolio:
• Health Care: 38.2%
• Communication Services: 36.1%
• Financials: 16.9%
• Information Technology: 6.2%
• Consumer Staples: 2.6%
Investment Profile
Financial & Investment Management Group LTD's portfolio is broadly diversified and fast-trading, with 38.2% of the portfolio concentrated in Health Care.
It has added to its GDO position over the past two quarters (+$2.2M, now $2.9M), while trimming SCHP over the same stretch (-$11.3M, still holding $6.1M).
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