FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD

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$318 Million is the total value of FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's 120 reported holdings in Q4 2013. The portfolio turnover from Q3 2013 to Q4 2013 was 53.5% .

All

			Value		Shares		↓ Weighting
WIW	Buy	WESTERN ASSET CLYM INFL OPP	$29,636,000	+20.9%	2,629,671	+24.5%	9.31%	-0.9%
ACG	Sell	ALLIANCEBERNSTEIN INCOME FUN	$18,817,000	-39.3%	2,639,119	-40.1%	5.91%	-50.2%
BTZ	Sell	BLACKROCK CR ALLCTN INC TR	$18,563,000	-2.0%	1,421,394	-2.2%	5.83%	-19.7%
PDT	Buy	HANCOCK JOHN PREMUIM DIV FD	$18,320,000	+7.7%	1,579,323	+11.1%	5.75%	-11.7%
BCF	Buy	BLACKROCK REAL ASSET EQUITY	$16,250,000	+164.3%	1,865,640	+172.5%	5.10%	+116.6%
GAIA	Sell	GAIAM INCcl a	$11,828,000	+30.9%	1,786,645	-1.0%	3.71%	+7.2%
HTD	Buy	HANCOCK JOHN TAX-ADV DIV INC	$8,510,000	+558.2%	467,085	+528.8%	2.67%	+439.8%
MTS	Sell	MONTGOMERY STR INCOME SECS I	$7,426,000	-9.0%	477,837	-8.0%	2.33%	-25.4%
JHP	Buy	NUVEEN QUALITY PFD INC FD 3	$6,900,000	+49.6%	878,993	+50.3%	2.17%	+22.6%
FT	Buy	FRANKLIN UNVL TRsh ben int	$6,634,000	+23.4%	955,923	+21.5%	2.08%	+1.2%
FTT	Sell	FEDERATED ENHANC TREAS INCM	$5,762,000	-7.6%	450,894	-7.0%	1.81%	-24.3%
ERC	Sell	WELLS FARGO ADVANTAGE MULTI	$5,272,000	-20.3%	374,983	-19.8%	1.66%	-34.6%
BPY	New	BROOKFIELD PPTY PARTNERS L Punit ltd partn	$5,213,000	–	261,454	+100.0%	1.64%	–
DDC	Buy	DOMINION DIAMOND CORP	$5,020,000	+21.3%	349,570	+2.9%	1.58%	-0.6%
DCA	Sell	VIRTUS TOTAL RETURN FD	$4,877,000	-3.1%	1,241,056	-2.8%	1.53%	-20.6%
T104PS	Buy	AMERICAN RLTY CAP PPTYS INC	$4,811,000	+39.9%	374,335	+32.8%	1.51%	+14.7%
GROW	Sell	U S GLOBAL INVS INCcl a	$4,682,000	-11.8%	1,843,364	-0.7%	1.47%	-27.7%
SGL	Buy	STRATEGIC GLOBAL INCOME FD	$4,682,000	+12.4%	518,535	+15.6%	1.47%	-7.9%
0295SC	Sell	AMERICAN SELECT PORTFOLIO IN	$4,624,000	-8.1%	499,362	-4.6%	1.45%	-24.7%
AEC	Sell	ASSOCIATED ESTATES RLTY CORP	$4,479,000	-11.3%	279,047	-17.6%	1.41%	-27.3%
SLW	Buy	SILVER WHEATON CORP	$4,157,000	-9.1%	205,882	+11.6%	1.30%	-25.5%
	New	ROYAL GOLD INCnote 2.875% 6/1	$4,148,000	–	4,325,000	+100.0%	1.30%	–
FPF	New	FIRST TR INTER DUR PFD & IN	$4,128,000	–	194,275	+100.0%	1.30%	–
HE	Sell	HAWAIIAN ELEC INDUSTRIES	$4,057,000	+3.2%	155,661	-0.7%	1.27%	-15.5%
MCN	Sell	MADISON CVRED CALL & EQ STR	$3,629,000	-29.9%	444,185	-32.0%	1.14%	-42.6%
FAST	Sell	FASTENAL CO	$3,328,000	-6.3%	70,044	-0.8%	1.04%	-23.2%
COLE	New	COLE REAL ESTATE INVTS INC	$3,292,000	–	234,461	+100.0%	1.03%	–
NEM	New	NEWMONT MINING CORP	$3,118,000	–	135,385	+100.0%	0.98%	–
CDE	New	COEUR MNG INC	$3,068,000	–	282,745	+100.0%	0.96%	–
NID	New	NUVEEN INTER DURATION MN TMF	$3,002,000	–	260,778	+100.0%	0.94%	–
GDO	Buy	WESTERN ASSET GLOBAL CP DEFI	$2,617,000	+8.1%	144,799	+6.4%	0.82%	-11.4%
FOF	New	COHEN & STEERS CLOSED END OP	$2,598,000	–	206,690	+100.0%	0.82%	–
VBF	Sell	INVESCO BD FD	$2,566,000	-13.3%	145,027	-14.0%	0.81%	-28.9%
FDI	Sell	FORT DEARBORN INCOME SECS IN	$2,450,000	-8.8%	177,511	-7.8%	0.77%	-25.3%
WIA	Buy	WESTERN ASSET CLYM INFL SEC	$2,434,000	+57.3%	213,113	+60.3%	0.76%	+28.8%
DLR	New	DIGITAL RLTY TR INC	$2,427,000	–	49,400	+100.0%	0.76%	–
CSI	Sell	CUTWATER SELECT INCOME FD	$2,401,000	-26.2%	131,127	-28.3%	0.75%	-39.5%
MUI	New	BLACKROCK MUNI INTER DR FD I	$2,270,000	–	163,304	+100.0%	0.71%	–
IQI	New	INVESCO QUALITY MUNI INC TRS	$2,204,000	–	198,212	+100.0%	0.69%	–
PMO	New	PUTNAM MUN OPPORTUNITIES TRsh ben int	$2,147,000	–	199,900	+100.0%	0.67%	–
BTT	New	BLACKROCK MUN TARGET TERM TR	$2,106,000	–	123,000	+100.0%	0.66%	–
TINY	New	HARRIS & HARRIS GROUP INC	$1,978,000	–	663,813	+100.0%	0.62%	–
UTF	Sell	COHEN & STEERS INFRASTRUCTUR	$1,961,000	+3.3%	95,200	-1.0%	0.62%	-15.4%
BWG	Sell	LEGG MASON BW GLB INC OPP FD	$1,952,000	-33.5%	115,682	-34.0%	0.61%	-45.5%
DOVR	Sell	DOVER SADDLERY INC	$1,945,000	+18.1%	363,600	-0.9%	0.61%	-3.2%
JRI	New	NUVEEN REAL ASSET INC & GROW	$1,894,000	–	113,085	+100.0%	0.60%	–
EOT	New	EATON VANCE NATL MUN OPPORT	$1,861,000	–	100,796	+100.0%	0.58%	–
ETX	New	EATON VANCE MUN INCOME TERM	$1,861,000	–	127,000	+100.0%	0.58%	–
JGG	Buy	NUVEEN GBL INCOME OPPORTUN F	$1,815,000	-1.6%	159,323	+1.3%	0.57%	-19.4%
BNA	Sell	BLACKROCK INCOME OPP TRUST I	$1,788,000	-3.6%	184,289	-1.7%	0.56%	-21.1%
VGM	New	INVESCO TR INVT GRADE MUNS	$1,742,000	–	143,000	+100.0%	0.55%	–
GG	New	GOLDCORP INC NEW	$1,703,000	–	78,603	+100.0%	0.54%	–
LWAY	Buy	LIFEWAY FOODS INC	$1,675,000	+19.1%	104,826	+0.7%	0.53%	-2.4%
NIQ	New	NUVEEN INT DUR QUAL MUN TRM	$1,637,000	–	142,360	+100.0%	0.51%	–
BCV	Sell	BANCROFT FUND LTD	$1,599,000	-8.2%	85,983	-11.5%	0.50%	-24.7%
MMD	New	MAINSTAY DEFINEDTERM MN OPP	$1,575,000	–	99,873	+100.0%	0.50%	–
8107SC	Buy	AMERICAN STRATEGIC INCM PTFL	$1,562,000	-2.8%	173,780	+5.6%	0.49%	-20.5%
DWA	Sell	DREAMWORKS ANIMATION SKG INCcl a	$1,363,000	+14.0%	38,400	-8.6%	0.43%	-6.6%
MNP	New	WESTERN ASST MN PRT FD INC	$1,336,000	–	97,162	+100.0%	0.42%	–
TDF	Sell	TEMPLETON DRAGON FD INC	$1,290,000	-2.2%	49,847	-1.6%	0.40%	-19.8%
ICB	Sell	MORGAN STANLEY TRUSTS	$1,288,000	-22.0%	76,612	-22.8%	0.40%	-36.2%
NU		NORTHEAST UTILS	$1,266,000	+2.8%	29,860	0.0%	0.40%	-15.7%
AAPL	Buy	APPLE INC	$1,135,000	+23.1%	2,023	+4.7%	0.36%	+0.8%
BUI	Buy	BLACKROCK UTIL & INFRASTRCTU	$1,114,000	+18.4%	62,346	+15.7%	0.35%	-3.0%
BTG	Buy	B2GOLD CORP	$1,099,000	-5.7%	544,090	+15.7%	0.34%	-22.8%
LODE	Buy	COMSTOCK MNG INC	$1,093,000	+0.6%	624,656	+3.4%	0.34%	-17.5%
CMK	Sell	MFS INTERMARKET INCOME TRUSTsh ben int	$1,077,000	-37.7%	132,783	-38.6%	0.34%	-49.0%
BSP	Sell	AMERN STRATEGIC INCOME PTFL	$1,034,000	-69.5%	134,088	-67.9%	0.32%	-74.9%
TEVA	Buy	TEVA PHARMACEUTICAL INDS LTDadr	$967,000	+304.6%	24,138	+281.8%	0.30%	+230.4%
FFNM	Sell	FIRST FED NORTHN MICH BANCOR	$943,000	+16.9%	174,700	-4.0%	0.30%	-4.2%
NXR	New	NUVEEN SELECT TAX FREE INCMsh ben int	$880,000	–	68,300	+100.0%	0.28%	–
BRKB	Buy	BERKSHIRE HATHAWAY INC DELcl b new	$866,000	+15.9%	7,302	+11.0%	0.27%	-4.9%
VFL	New	DELAWARE INVT NAT MUNI INC Fsh ben int	$842,000	–	72,047	+100.0%	0.26%	–
CL	Buy	COLGATE PALMOLIVE CO	$796,000	+11.8%	12,200	+1.7%	0.25%	-8.4%
BTF	Sell	BOULDER TOTAL RETURN FD INC	$782,000	+0.3%	33,971	-5.1%	0.25%	-17.7%
ZTR	Sell	ZWEIG TOTAL RETURN FD INC	$783,000	-60.9%	56,172	-63.2%	0.25%	-67.9%
NXP	New	NUVEEN SELECT TAX FREE INCMsh ben int	$754,000	–	58,514	+100.0%	0.24%	–
RGSE	Sell	REAL GOODS SOLAR INCcl a	$734,000	-69.4%	242,904	-71.8%	0.23%	-75.0%
RMT	Buy	ROYCE MICRO-CAP TR INC	$712,000	+11.2%	56,450	+3.3%	0.22%	-8.6%
KGC	Buy	KINROSS GOLD CORP	$680,000	+1207.7%	155,347	+1404.3%	0.21%	+970.0%
PG	Buy	PROCTER & GAMBLE CO	$683,000	+55.9%	8,384	+44.7%	0.21%	+27.4%
OIA	New	INVESCO MUNI INCOME OPP TRST	$614,000	–	99,000	+100.0%	0.19%	–
DMB	New	DREYFUS MUN BD INFRSTRCTR FD	$580,000	–	56,000	+100.0%	0.18%	–
FPT	New	FEDERATED PREM INTR MUN INC	$538,000	–	44,150	+100.0%	0.17%	–
MMT	Sell	MFS MULTIMARKET INCOME TRsh ben int	$527,000	-21.8%	79,626	-21.9%	0.16%	-36.0%
NXQ	New	NUVEEN SELECT TAX FREE INCMsh ben int	$518,000	–	41,877	+100.0%	0.16%	–
CSQ	Buy	CALAMOS STRATEGIC TOTL RETN	$477,000	+304.2%	43,802	+269.6%	0.15%	+233.3%
ED		CONSOLIDATED EDISON INC	$461,000	+0.2%	8,343	0.0%	0.14%	-17.6%
SBW	Sell	WESTERN ASSET WORLDWIDE INCO	$423,000	-31.8%	34,733	-29.6%	0.13%	-44.1%
NOAH	New	NOAH HLDGS LTDsponsored ads	$405,000	–	22,475	+100.0%	0.13%	–
JVA	New	COFFEE HLDGS INC	$380,000	–	74,693	+100.0%	0.12%	–
ADM		ARCHER DANIELS MIDLAND CO	$369,000	+17.9%	8,501	0.0%	0.12%	-3.3%
PIM	Sell	PUTNAM MASTER INTER INCOME Tsh ben int	$369,000	-83.8%	73,198	-84.3%	0.12%	-86.7%
MSF	Buy	MORGAN STANLEY EMER MKTS FD	$367,000	+8.3%	23,735	+4.9%	0.12%	-11.5%
XOM	Buy	EXXON MOBIL CORP	$349,000	+71.9%	3,448	+46.4%	0.11%	+41.0%
ZF	Sell	ZWEIG FD	$346,000	-1.4%	23,317	-10.1%	0.11%	-18.7%
LOR	Sell	LAZARD WORLD DIVID & INCOME	$327,000	-26.8%	22,546	-32.5%	0.10%	-39.8%
DNY	Sell	DENALI FD INC	$319,000	-0.9%	16,474	-2.7%	0.10%	-18.7%
CXH	New	MFS INVT GRADE MUN TRsh ben int	$314,000	–	36,500	+100.0%	0.10%	–
WFC	Buy	WELLS FARGO & CO NEW	$315,000	+11.3%	6,945	+1.5%	0.10%	-8.3%
PFE	New	PFIZER INC	$300,000	–	9,799	+100.0%	0.09%	–
WAG	Buy	WALGREEN CO	$292,000	+21.2%	5,081	+13.4%	0.09%	0.0%
TOFB	Sell	TOFUTTI BRANDS INC	$291,000	+58.2%	85,300	-2.3%	0.09%	+30.0%
TRV		TRAVELERS COMPANIES INC	$283,000	+6.8%	3,126	0.0%	0.09%	-12.7%
UPS	Buy	UNITED PARCEL SERVICE INCcl b	$280,000	+17.6%	2,668	+2.3%	0.09%	-3.3%
DTE	Buy	DTE ENERGY CO	$262,000	+11.0%	3,946	+10.4%	0.08%	-8.9%
IR	New	INGERSOLL-RAND PLC	$254,000	–	4,124	+100.0%	0.08%	–
MSFT	Sell	MICROSOFT CORP	$240,000	-53.3%	6,423	-58.4%	0.08%	-61.9%
JTP	Buy	NUVEEN QUALITY PFD INCOME FD	$240,000	+118.2%	31,196	+115.1%	0.08%	+78.6%
ALLE	New	ALLEGION PUB LTD CO	$237,000	–	5,356	+100.0%	0.07%	–
APA	Buy	APACHE CORP	$215,000	+2.4%	2,502	+1.5%	0.07%	-15.0%
JPC		NUVEEN PFD INCOME OPPRTNY FD	$198,000	+2.1%	22,325	0.0%	0.06%	-16.2%
DNIF	New	DIVIDEND & INCOME FUND	$169,000	–	11,168	+100.0%	0.05%	–
VIAS		VIASYSTEMS GROUP INC	$153,000	-5.6%	11,190	0.0%	0.05%	-22.6%
PW	New	POWER REIT	$126,000	–	14,339	+100.0%	0.04%	–
CHW		CALAMOS GBL DYN INCOME FUND	$125,000	+5.0%	13,950	0.0%	0.04%	-15.2%
SBI	New	WESTERN ASSET INTM MUNI FD I	$109,000	–	12,000	+100.0%	0.03%	–
MNKD		MANNKIND CORP	$60,000	-9.1%	11,600	0.0%	0.02%	-24.0%
ELNK	New	EARTHLINK INC	$57,000	–	11,310	+100.0%	0.02%	–
CIDM	New	CINEDIGM DIGITAL CINEMA CORP	$46,000	–	22,800	+100.0%	0.01%	–
	Exit	INTEL CORPsdcv 2.950%12/1	$0	–	-16,000	-100.0%	-0.01%	–
BOE	Exit	BLACKROCK GLOBAL OPP EQTY TR	$0	–	-22,742	-100.0%	-0.12%	–
T101SC	Exit	AMERICAN STRATEGIC INCOME II	$0	–	-79,420	-100.0%	-0.21%	–
NTTYY	Exit	NIPPON TELEG & TEL CORPsponsored adr	$0	–	-94,768	-100.0%	-0.95%	–
	Exit	ROYAL GOLD INCnote 2.875% 6/1	$0	–	-4,363,000	-100.0%	-1.60%	–
RIO	Exit	RIO TINTO PLCsponsored adr	$0	–	-101,098	-100.0%	-1.89%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2014-01-21

Signatures

The EDGAR filing(s) were signed by:

Matthew Bohrer — Chief Compliance Officer

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
FRANKLIN UNVL TR	23	Q4 2018	4.1%
U S GLOBAL INVS INC	23	Q4 2018	2.7%
FASTENAL CO	23	Q4 2018	1.8%
BERKSHIRE HATHAWAY INC DEL	23	Q4 2018	0.5%
COLGATE PALMOLIVE CO	23	Q4 2018	0.4%
PROCTER & GAMBLE CO	23	Q4 2018	0.3%
DTE ENERGY CO	23	Q4 2018	0.3%
CONSOLIDATED EDISON INC	23	Q4 2018	0.3%
TEMPLETON DRAGON FD INC	22	Q4 2018	0.5%
MORGAN STANLEY EMER MKTS FD	21	Q3 2018	0.1%

View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete holdings history.

Latest significant ownerships (13-D/G)

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD Q4 2013 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
ALPS ETF Trust	March 15, 2019	193,137	6.4%
ETF Series Solutions	February 11, 2019	46,867	4.5%
FRANKLIN UNIVERSAL TRUST	February 11, 2019	1,707,821	6.8%
Global Self Storage, Inc.	October 12, 2018	369,452	4.8%
U S GLOBAL INVESTORS INC	August 09, 2018	639,919	4.9%
180 DEGREE CAPITAL CORP. /NY/	October 06, 2017	1,534,111	4.9%
WESTERN ASSET/CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND	March 07, 2017	2,692,816	4.4%
HARRIS & HARRIS GROUP INC /NY/	January 18, 2017	1,777,181	5.8%
Kennedy-Wilson Holdings, Inc.	January 18, 2017	112,736	5.1%
Eaton Vance Floating-Rate Income Plus Fund	December 12, 2016	370,180	4.9%

View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete significant-ownership history.

Latest filings

Type	Filed
SC 13G	2019-03-15
SC 13G	2019-02-11
SC 13G	2019-02-11
13F-HR	2019-01-30
SC 13G	2019-01-14
SC 13G	2019-01-14
13F-HR	2018-10-18
SC 13G/A	2018-10-12
SC 13G	2018-10-12
SC 13G	2018-08-09

View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete filings history.

All filings

View complete filings history.

Compare quarters

Issues

The following issues were detected while analyzing the report:

The reported total value is incorrect (318449000.0 != 318453000.0)

Export FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's holdings