FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
Reported holdings as of Q4 2018, from 1 quarterly filings.
This filer last reported in Q4 2018; the most recent quarter on file across all filers is Q3 2026. Firms that restructure stop filing under one CIK and start under another, so a successor entity may hold these positions now under a similar name.
Holdings
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| Security | Ticker | Value | Shares | Weight | Weight change | Held | Change |
|---|---|---|---|---|---|---|---|
| BLACKROCK CR ALLOCATION | BTZ | $16.8M | 1,499,442 | - | new | FIRST | |
| FRANKLIN UNVL TR | FT | $11.1M | 1,755,395 | - | new | FIRST | |
| TEMPLETON GLOBAL INCOME FD | SABA | $9.8M | 1,620,989 | - | new | FIRST | |
| KENNEDY-WILSON HOLDINGS INC | KW | $9.2M | 507,541 | - | new | FIRST | |
| NUVEEN CR STRATEGIES INCOME | JQC | $8.9M | 1,198,082 | - | new | FIRST | |
| WESTERN AST INFL LKD OPP & I | WIW | $7.2M | 706,203 | - | new | FIRST | |
| MERCK & CO INC | MRK | $7.0M | 91,667 | - | new | FIRST | |
| BRANDYWINEGBL GBL INCM OPP F | BWG | $6.5M | 623,997 | - | new | FIRST | |
| BRIXMOR PPTY GROUP INC | BRX | $6.5M | 440,600 | - | new | FIRST | |
| Voya Prime Rate Trus | PPR | $6.4M | 1,416,299 | - | new | FIRST | |
| SCHWAB STRATEGIC TR | SCHP | $6.1M | 113,674 | - | new | FIRST | |
| Vereit INC | VER | $6.0M | 838,796 | - | new | FIRST | |
| SANDSTORM GOLD LTD | SAND | $5.9M | 1,289,636 | - | new | FIRST | |
| Invesco Credit Dynamic O | VTA | $5.9M | 574,519 | - | new | FIRST | |
| OMNICOM GROUP INC | OMC | $5.6M | 76,299 | - | new | FIRST | |
| BLACKROCK FLOATING RATE INC | BGT | $5.5M | 478,926 | - | new | FIRST | |
| INVESCO SR INCOME TR | VVR | $4.8M | 1,239,806 | - | new | FIRST | |
| KONINKLIJKE PHILIPS N V | PHG | $4.8M | 137,882 | - | new | FIRST | |
| KIMCO REALTY CORP | KIM | $4.5M | 310,345 | - | new | FIRST | |
| UNITI GROUP INC | UNIT | $4.3M | 274,601 | - | new | FIRST | |
| ARRAY BIOPHARMA INC COM | ARRY | $4.2M | 295,610 | - | new | FIRST | |
| DISNEY WALT CO | DIS | $4.0M | 36,580 | - | new | FIRST | |
| WHEATON PRECIOUS METALS CORP | WPM | $3.9M | 199,248 | - | new | FIRST | |
| VODAFONE GROUP PLC | VOD | $3.9M | 199,888 | - | new | FIRST | |
| DOUBLELINE INCOME SOLUTIONS | DSL | $3.8M | 217,101 | - | new | FIRST | |
| REGENERON PHARMACEUTICALS | REGN | $3.5M | 9,427 | - | new | FIRST | |
| ALGONQUIN POWER & UTILITIES | AQN | $3.5M | 343,924 | - | new | FIRST | |
| COTT CORP QUE COM | COT | $3.4M | 244,721 | - | new | FIRST | |
| BLACKROCK FLOATING RATE INCO | FRA | $3.4M | 282,595 | - | new | FIRST | |
| APOLLO SR FLOATING RATE FD I | AFT | $3.3M | 230,008 | - | new | FIRST | |
| NXP SEMICONDUCTORS N V | NXPI | $3.2M | 44,011 | - | new | FIRST | |
| AT&T INC | T | $3.2M | 111,141 | - | new | FIRST | |
| VERIZON COMMUNICATIONS INC | VZ | $3.1M | 55,134 | - | new | FIRST | |
| FRANKLIN STR PPTYS CORP | FSP | $3.1M | 497,053 | - | new | FIRST | |
| WESTERN ASSET INTER MUNI | SBI | $3.0M | 354,781 | - | new | FIRST | |
| WESTERN ASSET GLOBAL CORP DEFI COM | GDO | $2.9M | 195,555 | - | new | FIRST | |
| HA SUSTAINABLE INFRA CAP INC | HASI | $2.9M | 151,911 | - | new | FIRST | |
| GDL FD | GDL | $2.9M | 314,726 | - | new | FIRST | |
| PIONEER FLOATING RATE FUND INC COM | PHD | $2.9M | 293,098 | - | new | FIRST | |
| GLOBAL WTR RES INC | GWRS | $2.9M | 284,281 | - | new | FIRST | |
| NUCOR CORP | NUE | $2.7M | 51,668 | - | new | FIRST | |
| PARKER HANNIFIN CORP | PH | $2.6M | 17,448 | - | new | FIRST | |
| OSISKO GOLD ROYALTIES LTD | OR | $2.6M | 294,878 | - | new | FIRST | |
| ISHARES TR | IEF | $2.5M | 23,937 | - | new | FIRST | |
| BLACKROCK MUNIYIELD QUALITY | MYI | $2.5M | 206,240 | - | new | FIRST | |
| ISHARES TR | SHY | $2.4M | 28,934 | - | new | FIRST | |
| GREAT PANTHER SILVER LTD COM | GPL | $2.3M | 3,199,264 | - | new | FIRST | |
| NUVEEN MICHIGAN QUALITY MUNICI | NUM | $2.2M | 173,036 | - | new | FIRST | |
| COM | MUI | $2.1M | 168,091 | - | new | FIRST | |
| RIVERNORTH DOUBLELINE STRATE | OPP | $1.9M | 118,929 | - | new | FIRST | |
| ABRDN ASIA PACIFIC INCOME FU | FAX | $1.8M | 476,377 | - | new | FIRST | |
| EVERSOURCE ENERGY | ES | $1.8M | 28,272 | - | new | FIRST | |
| AGIOS PHARMACEUTICALS INC | AGIO | $1.8M | 39,738 | - | new | FIRST | |
| APPLE INC | AAPL | $1.5M | 9,788 | - | new | FIRST | |
| BERKSHIRE HATHAWAY INC DEL | BRKB | $1.5M | 7,320 | - | new | FIRST | |
| CBRE GBL REAL ESTATE INC FD | IGR | $1.4M | 225,510 | - | new | FIRST | |
| GLOBAL SELF STORAGE INC | SELF | $1.3M | 331,528 | - | new | FIRST | |
| BERKSHIRE HATHAWAY INC DEL | BRKA | $1.2M | 4 | - | new | FIRST | |
| ABERDEEN INTER INCOME FD | MIN | $1.2M | 333,460 | - | new | FIRST | |
| EATON VANCE MUN INCOME TR | EVN | $1.2M | 107,869 | - | new | FIRST | |
| EV FLOATING-RATE INCOME PLUS | EFF | $1.2M | 82,010 | - | new | FIRST | |
| FASTENAL CO | FAST | $1.2M | 22,284 | - | new | FIRST | |
| HANNON ARMSTRONG 4.125 01SEP22 | $988.0K | 1,086,000 | - | new | DEBT | ||
| PIMCO ETF TR | ZROZ | $852.0K | 7,573 | - | new | FIRST | |
| LIBERTY MEDIA CORP DEL | FWONK | $828.0K | 33,249 | - | new | FIRST | |
| DTE ENERGY CO | DTE | $824.0K | 7,471 | - | new | FIRST | |
| BLACKROCK MUN TARGET TERM TR | BTT | $808.0K | 39,412 | - | new | FIRST | |
| ETF SER SOLUTIONS | GOAU | $777.0K | 68,129 | - | new | FIRST | |
| SPDR SERIES TRUST | SPTL | $752.0K | 21,474 | - | new | FIRST | |
| EATON VANCE SR INCOME TR | EVF | $749.0K | 124,869 | - | new | FIRST | |
| PROCTER & GAMBLE CO | PG | $748.0K | 8,133 | - | new | FIRST | |
| COLGATE PALMOLIVE CO | CL | $726.0K | 12,200 | - | new | FIRST | |
| BLACKROCK MUNIYIELD MICH QU | MIY | $691.0K | 55,597 | - | new | FIRST | |
| SPECIAL OPPORTUNITIES FD INC | SPE | $670.0K | 56,589 | - | new | FIRST | |
| GABELLI HEALTHCARE & WELLNES | GRX | $641.0K | 69,331 | - | new | FIRST | |
| CONSOLIDATED EDISON INC | ED | $609.0K | 7,966 | - | new | FIRST | |
| SPIRIT MTA REIT | SMTA | $554.0K | 77,673 | - | new | FIRST | |
| U S GLOBAL INVS INC | GROW | $554.0K | 503,581 | - | new | FIRST | |
| BLACKROCK STRATEGIC MUN TR COM | BSD | $548.0K | 46,000 | - | new | FIRST | |
| ISHARES TR | IBMK | $510.0K | 19,911 | - | new | FIRST | |
| BLACKROCK MUNI BOND TRUST | BBK | $508.0K | 38,028 | - | new | FIRST | |
| MORGAN STANLEY ASIA PAC FD I C | APF | $507.0K | 30,817 | - | new | FIRST | |
| BLACKROCK MUN INCOME TR SH BEN INT | BFK | $450.0K | 36,900 | - | new | FIRST | |
| SRH TOTAL RETURN FUND INC | STEW | $447.0K | 42,831 | - | new | FIRST | |
| BLACKROCK MUNIYILD QULT FD I | MQY | $435.0K | 33,500 | - | new | FIRST | |
| BLACKROCK INVT QUALITY MUN T | BKN | $410.0K | 31,000 | - | new | FIRST | |
| SPECIAL OPPORTUNITIES FD INC | SPEPRB | $371.0K | 14,868 | - | new | FIRST | |
| UNITEDHEALTH GROUP INC | UNH | $353.0K | 1,418 | - | new | FIRST | |
| ISHARES TR | TIP | $345.0K | 3,154 | - | new | FIRST | |
| WALGREENS BOOTS ALLI | WBA | $342.0K | 5,011 | - | new | FIRST | |
| ISHARES TR | STIP | $303.0K | 3,094 | - | new | FIRST | |
| FIRST TR SR FLTG RATE INCOME | FCT | $296.0K | 26,450 | - | new | FIRST | |
| ROYAL GOLD INC | $275.0K | 274,000 | - | new | DEBT | ||
| CLOUGH GLOBAL OPPORTUNITIES | GLO | $262.0K | 31,838 | - | new | FIRST | |
| VANGUARD SCOTTSDALE FDS | VGIT | $258.0K | 4,070 | - | new | FIRST | |
| LIFEWAY FOODS INC | LWAY | $252.0K | 133,979 | - | new | FIRST | |
| NUVEEN FLOATING RATE INCOME | JFR | $248.0K | 26,850 | - | new | FIRST | |
| COHEN & STEERS REIT & PFD & | RNP | $245.0K | 13,773 | - | new | FIRST | |
| ROYCE GLOBAL VALUE TR INC | RGT | $243.0K | 27,370 | - | new | FIRST | |
| ANALOG DEVICES INC | ADI | $226.0K | 2,632 | - | new | FIRST | |
| NUVEEN MUN VALUE FD INC | NUV | $215.0K | 23,200 | - | new | FIRST | |
| Ingersoll-Rand Co Ltd | IR | $211.0K | 2,317 | - | new | FIRST | |
| SCHWAB STRATEGIC TR | SCHR | $209.0K | 3,956 | - | new | FIRST | |
| CITRIX SYS INC COM | CTXS | $205.0K | 2,000 | - | new | FIRST | |
| BLACKROCK MUNIHLDS INVSTM QL | MFL | $204.0K | 16,000 | - | new | FIRST | |
| BLACKROCK MUNIVEST FD INC COM | MVF | $203.0K | 24,600 | - | new | FIRST | |
| WESTERN ASSET MANAGED MUNS F | MMU | $203.0K | 16,000 | - | new | FIRST | |
| BLACKROCK MUNIYIELD FD INC COM | MYD | $200.0K | 16,000 | - | new | FIRST | |
| PIMCO MUN INCOME FD II | PML | $200.0K | 15,000 | - | new | FIRST | |
| WESTERN ASSET | MTT | $195.0K | 10,000 | - | new | FIRST | |
| BLACKROCK MUNIHOLDINGS FD IN | MHD | $191.0K | 13,000 | - | new | FIRST | |
| BLACKROCK MUNIVEST FD II INC | MVT | $188.0K | 14,375 | - | new | FIRST | |
| NUVEEN MUN CR INCOME FD | NZF | $188.0K | 14,000 | - | new | FIRST | |
| NUVEEN ENHANCED MUN VALUE FD | NEV | $180.0K | 14,000 | - | new | FIRST | |
| TEMPLETON DRAGON FD INC | TDF | $173.0K | 10,187 | - | new | FIRST | |
| ABERDEEN GOVT MARKETS INCOME | MGF | $162.0K | 36,184 | - | new | FIRST | |
| FIRST TRUST MORTGAGE INCOME | FMY | $144.0K | 11,029 | - | new | FIRST | |
| SEQUENTIAL BRNDS GROUP INC NEW COM | SQBG | $143.0K | 178,438 | - | new | FIRST | |
| WESTERN ASSET INFLT LNK INC | WIA | $134.0K | 12,682 | - | new | FIRST | |
| NEW SR INVT GROUP INC | SNR | $133.0K | 32,175 | - | new | FIRST | |
| BLACKROCK INCOME TR INC | BKT | $126.0K | 22,292 | - | new | FIRST | |
| DELAWARE ENHANCED GBL DIV | LOR | $88.0K | 10,332 | - | new | FIRST | |
| AEGON N V | AEG | $65.0K | 13,971 | - | new | FIRST |
By sector
Industry comes from the SIC code on each company's own SEC filings, which is self-reported and sometimes out of date. Derivative exposure is counted with the shares. Securities the SEC assigns no industry - funds, trusts, foreign issues - are shown as not classified rather than dropped.
| Sector | Value | Share |
|---|---|---|
| Funds & ETFs | $106.9M | 39.0% |
| Telecom & Media | $19.2M | 7.0% |
| Real Estate | $15.4M | 5.6% |
| Biotech & Pharma | $12.4M | 4.5% |
| Utilities | $9.6M | 3.5% |
| Mining & Metals | $9.2M | 3.3% |
| Semiconductors & Electronics | $7.7M | 2.8% |
| Business Services | $5.6M | 2.0% |
| Medical Devices | $4.8M | 1.8% |
| Other sectors | $13.8M | 5.0% |
| Not classified | $69.5M | 25.4% |
Quarter by quarter
| Quarter | Value | Positions | New | Added | Trimmed | Exited | Top 10 | Days to file |
|---|---|---|---|---|---|---|---|---|
| Q4 2018 | $274.2M | 123 | 0 | 0 | 0 | 0 | 32.6% | 30 |
Rows marked UNVERIFIED ID, PLACEHOLDER ID, TICKER AS ID or NON-CUSIP ID carry an identifier that is not a valid CUSIP. They are shown because the filer reported that money, but treat the security named with caution - hover the chip for what is wrong with it, and see the methodology.
Held counts consecutive filings in which this manager reported the position, and can reach further back than the quarters listed above: the tabs begin at Q4 2018 because earlier coverage is too sparse to describe a market, but tenure is counted over every filing we hold, some reaching to 2007. A position sold and later rebought starts again from one.
Weight change is the shift in this position's share of the whole book, in percentage points. It is the more useful column: when money flows into or out of a broad fund, almost every holding is bought or sold at once, so added and trimmed largely track flows. A weight that rose while the book shrank is a decision. Both compare with the previous quarter this filer reported, not the previous calendar quarter.