SF
Shaker Financial Services, LLC: 13F Stock Holdings & Portfolio (Q3 2026)
Shaker Financial Services, LLCCIK: 0001511794
Diversified strategySector-focusedMomentum follower
Total reported value
$303.1M
Reporting period: 2026-09-30 · Number of holdings: 144
Shaker Financial Services, LLC disclosed 144 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $303.1M and a quarterly turnover rate of 40.8%.
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Personality snowflake
- Concentration
- 5.14
- Portfolio Stability
- 40.8
- Momentum
- 100
- Sector conviction
- 100
- Diversification
- 100
- Sizing Uniformity
- 90.74
Shaker Financial Services, LLC's disclosed holdings carry a Herfindahl concentration index of 0.013 — mathematically equivalent to about 78 equally-sized positions, well below its 144 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 0.93), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
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 1% 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.govNew buy TBLD
New buy CII
Trim GAB
-26.8% -$3.8M
Add XETYX
+141.8% $3.1M
Sold out MMT
Add CET
+195.2% $3.0M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | RVT | Royce Small-cap Trust Inc | Stock-Other | 2.90% | -0.60% | -15.19% | |
| 2 | ASG | Liberty All-star Growth Fd | Stock-Other | 2.74% | +0.12% | +7.49% | |
| 3 | JCE | Nuveen Core Equity Alpha | Stock-Other | 2.66% | -0.07% | -10.46% | |
| 4 | GAB | Gabelli Equity Trust | Stock-Other | 2.62% | -1.06% | -26.76% | |
| 5 | USA | Liberty All Star Equity Fund | Stock-Other | 2.54% | -0.46% | -18.96% | |
| 6 | SPE | Special Opportunities Fund | Stock-Other | 2.33% | -0.48% | -15.99% | |
| 7 | ETB | Eaton Vance T/m Buy-wrt Inc | Stock-Other | 2.26% | +0.13% | +2.13% | |
| 8 | XGDVX | Gabelli Dividend & Income Tr | Stock-Other | 2.08% | +0.57% | +35.94% | |
| 9 | FFA | First Trust Enhan Eqty Inc | Stock-Other | 2.05% | -0.25% | -14.86% | |
| 10 | XSORX | Source Capital Inc | Stock-Other | 1.89% | -0.33% | -18.27% | |
| 11 | EOI | Eaton Vance Enhanced Eq Incm | Stock-Other | 1.80% | -0.11% | -11.63% | |
| 12 | EOS | Eaton Vance Enh Eqt Inc Ii | Stock-Other | 1.78% | +0.13% | +6.37% | |
| 13 | XETYX | Eaton Vance Tax-mgd Div Eqty | Stock-Other | 1.78% | +1.06% | +141.78% | |
| 14 | EEA | European Equity Fund Inc/the | Stock-Other | 1.70% | -0.02% | -1.43% | |
| 15 | XSSPX | Nuveen S&p 500 Dynam Overwr | Stock-Other | 1.65% | +0.09% | +3.49% | |
| 16 | TWN | Taiwan Fund Inc/th/md-us Inc | Stock-Other | 1.49% | +0.15% | -0.42% | |
| 17 | CET | Central Securities CORP | Stock-Other | 1.45% | +1.01% | +195.24% | |
| 18 | TBLD | Thornburg Income Builder Opp | Stock-Other | 1.43% | +1.43% | NEW | |
| 19 | XSCDX | Lmp Capital And Income Fund | Stock-Other | 1.40% | -0.23% | -13.52% | |
| 20 | DSL | Doubleline Income Solutions | Stock-Other | 1.37% | +0.14% | +16.70% | |
| 21 | BLW | Blackrock LTD Durat Inc Tr | Stock-Other | 1.32% | +0.14% | +15.67% | |
| 22 | CHW | Calamos Global Dynamic Incom | Stock-Other | 1.31% | +0.16% | +19.31% | |
| 23 | GAM | General American Investors | Stock-Other | 1.29% | -0.33% | -24.31% | |
| 24 | PFL | Pimco Income Strategy Fund | Stock-Other | 1.26% | +0.52% | +85.80% | |
| 25 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 1.22% | +0.05% | +0.24% | |
| 26 | ETG | Eaton Vance T/a Gl Dvd Incm | Stock-Other | 1.21% | +0.55% | +77.37% | |
| 27 | SABA | Saba Capital Income & Opp Ii | Stock-Other | 1.15% | -0.39% | -26.02% | |
| 28 | ERC | Allspring Multi-sector Inc | Stock-Other | 1.13% | +0.10% | +12.03% | |
| 29 | CII | Blackrock Enhan Lrg Cap Core | Stock-Other | 1.12% | +1.12% | NEW | |
| 30 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.08% | +0.07% | -0.09% | |
| 31 | RMT | Royce Micro-cap Trust Inc | Stock-Other | 1.03% | -0.29% | -18.95% | |
| 32 | STEW | Srh Total Return Fund Inc | Stock-Other | 1.03% | -0.64% | -39.83% | |
| 33 | TY | Tri-continental CORP | Stock-Other | 0.99% | +0.99% | NEW | |
| 34 | MCN | Xai Madison Equity Premium I | Stock-Other | 0.96% | +0.22% | +28.32% | |
| 35 | BGH | Barings Glbl Shrt Dur Hi Yld | Stock-Other | 0.96% | +0.12% | +16.44% | |
| 36 | HGLB | Highland Global Allocation | Stock-Other | 0.91% | -0.32% | -19.39% | |
| 37 | IAE | Voya Asia Pac Hi Dvd Eq Inc | Stock-Other | 0.89% | — | -1.65% | |
| 38 | RGT | Royce Global Trust Inc | Stock-Other | 0.89% | +0.08% | +3.59% | |
| 39 | PDI | Pimco Dynamic Income Fund | Stock-Financials | 0.89% | +0.89% | NEW | |
| 40 | XEVTX | Eaton Vance Tax-adv Dvd Inc | Stock-Other | 0.87% | +0.87% | NEW | |
| 41 | XPGPX | Pimco Glbl Stockspl & Inc | Stock-Other | 0.87% | -0.19% | -17.70% | |
| 42 | BWG | Brandywineglobal Global Inco | Stock-Other | 0.85% | -0.33% | -21.22% | |
| 43 | MSD | Morgan Stanley Emrg Mkt Debt | Stock-Other | 0.85% | -0.15% | -12.64% | |
| 44 | GHY | Pgim Global High Yield Fund | Stock-Other | 0.81% | -0.46% | -33.98% | |
| 45 | VOO | Vanguard S&p 500 ETF | ETF-Large Cap & Growth | 0.80% | -0.02% | -8.67% | |
| 46 | SWZ | Total Return Securities Fund | Stock-Other | 0.80% | +0.07% | +8.00% | |
| 47 | CGO | Calamos Global Total Return | Stock-Other | 0.79% | +0.03% | +4.54% | |
| 48 | PDO | Pimco Dynamic Income Opport | Stock-Other | 0.78% | +0.42% | +133.39% | |
| 49 | ACP | Abrdn Income Credit Strat | Stock-Other | 0.76% | +0.04% | +16.64% | |
| 50 | DLY | Doubleline Yield Opport | Stock-Other | 0.75% | +0.05% | +8.07% |
1–50 of 144
Portfolio Performance
Performance for Q4 2026
-3.1%
Performance Last 4 Quarters
+4.9%
- Stdev
- +10.3%
- Beta
- +0.76
- Alpha
- -2.9%
- Max Drawdown
- -5.6%
- Annualized Perf
- +14.6%
- Batting Avg vs S&P
- +30.6%
- Sortino
- +2.74
- Stutzer
- +0.41
- Treynor
- +0.19
- Sterling
- +1.03
- Calmar
- +2.62
- Information Ratio
- -1.55
- Tracking Error
- +5.4%
- Stdev Down
- +5.2%
- Winning Months %
- +72.2%
- Losing Months %
- +27.8%
- Best 12 Months
- +25.4%
- Worst 12 Months
- +4.9%
- Efficiency Ratio
- +0.55
- Sharpe
- +1.38
- Stdev Sectors
- 0%
- Skewness
- +0.13
- Kurtosis
- +0.56
- Upside Potential
- +4.3
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2026 Q3 | 144 | $303.1M | 41 | ||
| 2026 Q2 | 148 | $319.2M | 0 | ||
| 2026 Q1 | 145 | $286.9M | 54 | ||
| 2025 Q4 | 165 | $315.5M | 46 | ||
| 2025 Q3 | 149 | $291.6M | 60 | ||
| 2025 Q2 | 147 | $275.8M | 0 | ||
| 2025 Q1 | 153 | $256.9M | 100 | ||
| 2024 Q4 | 176 | $261.0M | 0 | ||
| 2024 Q3 | 157 | $265.3M | 0 | ||
| 2024 Q2 | 157 | $247.3M | 0 | ||
| 2024 Q1 | 157 | $258.4M | 0 | ||
| 2023 Q4 | 152 | $243.6M | 0 | ||
| 2023 Q3 | 155 | $214.6M | 0 | ||
| 2023 Q2 | 159 | $228.9M | 0 | ||
| 2023 Q1 | 152 | $228.8M | 0 | ||
| 2022 Q4 | 147 | $213.7M | 0 | ||
| 2022 Q3 | 154 | $202.5M | 0 | ||
| 2022 Q2 | 132 | $205.6M | 0 | ||
| 2022 Q1 | 147 | $265.5M | 0 | ||
| 2021 Q4 | 161 | $283.2M | 0 | ||
| 2021 Q3 | 140 | $249.9M | 0 | ||
| 2021 Q2 | 157 | $269.8M | 100 | ||
| 2021 Q1 | 163 | $251.1M | 69 | ||
| 2020 Q4 | 165 | $239.8M | 67 | ||
| 2020 Q3 | 154 | $187.1M | 72 | ||
| 2020 Q2 | 151 | $181.1M | 66 | ||
| 2020 Q1 | 157 | $148.0M | 99 | ||
| 2019 Q4 | 146 | $217.6M | 68 | ||
| 2019 Q3 | 133 | $196.1M | 48 | ||
| 2019 Q2 | 120 | $192.3M | 67 | ||
| 2019 Q1 | 118 | $197.4M | 55 | ||
| 2018 Q4 | 122 | $177.1M | 100 | ||
| 2018 Q3 | 122 | $208.5M | 57 | ||
| 2018 Q2 | 106 | $202.9M | 71 | ||
| 2018 Q1 | 108 | $207.0M | 66 | ||
| 2017 Q4 | 119 | $211.5M | 74 | ||
| 2017 Q3 | 98 | $188.8M | 71 | ||
| 2017 Q2 | 103 | $177.8M | 65 | ||
| 2017 Q1 | 109 | $176.2M | 78 | ||
| 2016 Q4 | 109 | $168.9M | 92 | ||
| 2016 Q3 | 112 | $152.5M | 78 | ||
| 2016 Q2 | 110 | $144.0M | 74 | ||
| 2016 Q1 | 90 | $137.6M | 71 | ||
| 2015 Q4 | 97 | $144.1M | 72 | ||
| 2015 Q3 | 96 | $133.4M | 74 | ||
| 2015 Q2 | 114 | $160.4M | 71 | ||
| 2015 Q1 | 124 | $160.9M | 72 | ||
| 2014 Q4 | 136 | $156.3M | 87 | ||
| 2014 Q3 | 132 | $154.5M | 63 | ||
| 2014 Q2 | 153 | $164.5M | 72 | ||
| 2014 Q1 | 135 | $152.3M | 62 | ||
| 2013 Q4 | 155 | $143.7M | 79 | ||
| 2013 Q3 | 159 | $134.8M | 67 | ||
| 2013 Q2 | 151 | $135.9M | — |
Holding changes this quarter
Shaker Financial Services, LLC's most significant position changes for 2026-09-30: New buy: Thornburg Income Builder Opp (TBLD); New buy: Blackrock Enhan Lrg Cap Core (CII); Sold out: Aberdeen Multimarket Income (MMT); New buy: Tri-continental CORP (TY); New buy: Pimco Dynamic Income Fund (PDI).
1–50 of 167
Filing History
FAQ
What is Shaker Financial Services, LLC and what type of investor is it?
Shaker Financial Services, LLC 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 (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $303.1M, spread across 144 disclosed positions.
What are Shaker Financial Services, LLC's largest equity positions?
Based on the latest 13F filing, Shaker Financial Services, LLC's top holdings by market value are:
1. Royce Small-cap Trust Inc (RVT) — $8.8M (2.9%)
2. Liberty All-star Growth Fd (ASG) — $8.3M (2.7%)
3. Nuveen Core Equity Alpha (JCE) — $8.1M (2.7%)
4. Gabelli Equity Trust (GAB) — $8.0M (2.6%)
5. Liberty All Star Equity Fund (USA) — $7.7M (2.5%)
What changes did Shaker Financial Services, LLC make in its most recent portfolio filing?
In the latest reported quarter, Shaker Financial Services, LLC made 161 notable position adjustments: 19 new positions were initiated, 58 existing holdings were added to, 61 positions were partially reduced, and 23 were completely exited. The largest of these moves: New buy: Thornburg Income Builder Opp (TBLD); New buy: Blackrock Enhan Lrg Cap Core (CII); Sold out: Aberdeen Multimarket Income (MMT); New buy: Tri-continental CORP (TY); New buy: Pimco Dynamic Income Fund (PDI)
What sectors does Shaker Financial Services, LLC focus on?
Shaker Financial Services, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Financials: 100.0%
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Investment Profile
Shaker Financial Services, LLC returned an annualized 14.6% over the trailing 36 months — underperforming the S&P 500 by 2.9 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.76 (less volatile than the market) and a 31% quarterly batting average against the index.
Its portfolio is broadly diversified and moderately active, with 100.0% of the portfolio concentrated in Financials.
Its turnover score has fallen from 60 to 41 over the past 4 quarters — a shift toward longer holding periods.
It has added to its XGDVX position over the past two quarters (+$4.9M, now $6.3M), while trimming CSQ over the same stretch (-$9.8M, still holding $644.2K).
Peer Institutions
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Sector conviction0.0
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FT
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CC
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Developer Access
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