$251 Million is the total value of Thomas J. Herzfeld Advisors, Inc.'s 294 reported holdings in Q4 2018. The portfolio turnover from Q3 2018 to Q4 2018 was 65.3% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | Buy | Highland Floating Rate Opportunities Fund | $10,613,000 | +7321.7% | 829,179 | +8855.4% | 4.23% | +8200.0% |
| PCI | New | PIMCO Dynamic Credit and Mortgage Income Fund | $9,609,000 | – | 456,462 | +100.0% | 3.83% | – |
| CLM | Buy | Cornerstone Strategic Value Fund Inc | $9,576,000 | +5467.4% | 856,541 | +6855.3% | 3.82% | +6162.3% |
| JQC | Buy | Nuveen Credit Strategies Income Fund | $8,568,000 | +47.4% | 1,157,860 | +58.7% | 3.42% | +65.8% |
| PCEF | New | Invesco Exchng Traded Fd Tr | $7,173,000 | – | 354,550 | +100.0% | 2.86% | – |
| ISD | Buy | PGIM Short Duration High Yield Fund, Inc. | $5,757,000 | +1.3% | 441,862 | +10.0% | 2.30% | +13.9% |
| AIF | Buy | Apollo Tactical Income Fund Inc | $5,181,000 | -4.5% | 376,278 | +7.8% | 2.07% | +7.5% |
| OCCI | New | OFS Credit Company Inc | $4,347,000 | – | 284,836 | +100.0% | 1.73% | – |
| GHY | Buy | PGIM Global Short Duration High Yield Fund, Inc. | $3,627,000 | +24.4% | 280,738 | +33.6% | 1.45% | +39.9% |
| DSL | New | Doubleline Income Solutions | $3,222,000 | – | 185,900 | +100.0% | 1.28% | – |
| RCL | Buy | Royal Caribbean Cruises Ltd | $3,054,000 | -19.6% | 31,229 | +6.8% | 1.22% | -9.6% |
| PPR | Buy | Voya Prime Rate Trustsh ben int | $2,833,000 | +1.1% | 631,052 | +12.1% | 1.13% | +13.7% |
| CRF | New | Cornerstone Total Rtrn Fd In | $2,794,000 | – | 251,518 | +100.0% | 1.11% | – |
| PEO | Buy | Adams Natural Resources Fund Inc | $2,407,000 | -11.0% | 165,180 | +21.8% | 0.96% | +0.1% |
| AGD | Buy | Aberdeen Global Dynamic Dividend Fund | $2,059,000 | -13.8% | 241,930 | +4.7% | 0.82% | -3.1% |
| FOF | New | Cohen & Steers Closed-End Opportunity Fund, Inc. | $1,857,000 | – | 167,481 | +100.0% | 0.74% | – |
| TYG | Buy | Tortoise Energy Infrastructure Corporation | $1,732,000 | +131.6% | 87,031 | +213.5% | 0.69% | +160.8% |
| KYN | Buy | Kayne Anderson MLP Investment Company | $1,585,000 | +18.8% | 115,173 | +54.1% | 0.63% | +33.6% |
| EVV | Buy | Eaton Vance Limited Duration Income Fund | $1,440,000 | -5.6% | 120,823 | +0.4% | 0.57% | +6.1% |
| VTA | Buy | Invesco Dynamic Credit Opportunities Fund | $1,371,000 | -10.0% | 133,528 | +0.5% | 0.55% | +1.3% |
| FMX | Buy | Fomento Economico Mexicano SAB de CVspon adr units | $1,287,000 | -12.6% | 14,962 | +0.5% | 0.51% | -1.7% |
| VAC | Buy | Marriott Vacations Worldwide Corp | $1,181,000 | -28.3% | 16,745 | +13.6% | 0.47% | -19.3% |
| ARDC | Buy | Ares Dynamic Credit Allocation Fund, Inc. | $1,130,000 | +11.7% | 81,870 | +25.7% | 0.45% | +25.6% |
| AVHOQ | Buy | Avianca Holdings SAspon adr rep pfd | $1,100,000 | -11.6% | 270,869 | +22.3% | 0.44% | -0.7% |
| IIF | Buy | Morgan Stanley India Investment Fund Inc | $1,096,000 | -12.9% | 54,645 | +1.8% | 0.44% | -2.2% |
| BIL | New | SPDR Ser Trspdr bloomberg | $999,000 | – | 10,919 | +100.0% | 0.40% | – |
| RA | New | Brookfield Real Assets Incom | $971,000 | – | 50,924 | +100.0% | 0.39% | – |
| CXH | Buy | MFS Investment Grade Municipal Trustsh ben int | $936,000 | -1.0% | 106,600 | +1.2% | 0.37% | +11.3% |
| ESRT | Buy | Empire State Realty Trust Inccl a | $909,000 | +11.9% | 63,894 | +30.7% | 0.36% | +26.0% |
| PGTI | New | PGT Innovations Inc | $874,000 | – | 55,170 | +100.0% | 0.35% | – |
| CEM | New | Clearbridge MLP and Midstrm | $850,000 | – | 81,639 | +100.0% | 0.34% | – |
| NBB | New | Nuveen Taxable Municpl Incm | $742,000 | – | 38,349 | +100.0% | 0.30% | – |
| JFR | Buy | Nuveen Floating Rate Income Fund | $709,000 | -5.1% | 76,857 | +7.0% | 0.28% | +6.8% |
| EDD | New | Morgan Stanley Em Mkts Dm De | $707,000 | – | 116,681 | +100.0% | 0.28% | – |
| PCK | Buy | PIMCO California Municipal Income Fund II | $695,000 | +32.9% | 88,805 | +42.0% | 0.28% | +49.7% |
| KIO | Buy | KKR Income Opportunities Fund | $605,000 | +2.2% | 42,491 | +17.7% | 0.24% | +14.8% |
| HQL | Buy | Tekla Life Science Investorssh ben int | $598,000 | +987.3% | 39,546 | +1379.5% | 0.24% | +1095.0% |
| XMPT | New | Vaneck Vectors ETF Tr | $595,000 | – | 24,900 | +100.0% | 0.24% | – |
| CIK | Buy | Credit Suisse Asset Management Income Fund Inc | $564,000 | +1.4% | 203,676 | +16.1% | 0.22% | +14.2% |
| CBH | Buy | AllianzGI Convertible & Income 2024 Target Term Fund | $558,000 | +13.9% | 69,865 | +31.3% | 0.22% | +28.2% |
| DBL | New | Doubleline Opportunitic Cr | $547,000 | – | 28,863 | +100.0% | 0.22% | – |
| RDSB | Buy | Royal Dutch Shell PLCspon adr b | $527,000 | +4.2% | 225 | +19.7% | 0.21% | +17.3% |
| LEO | Buy | Dreyfus Strategic Municipals, Inc. | $508,000 | +125.8% | 70,800 | +136.0% | 0.20% | +153.8% |
| SVVC | Buy | Firsthand Technology Value Fund, Inc. | $424,000 | +8.4% | 37,849 | +64.0% | 0.17% | +21.6% |
| AVK | Buy | Advent Claymore Convertible Securities and Income Fund | $375,000 | +100.5% | 29,867 | +150.7% | 0.15% | +127.3% |
| MUI | Buy | BlackRock Muni Intermediate Duration Fund Inc | $367,000 | +511.7% | 28,991 | +531.6% | 0.15% | +595.2% |
| OPP | New | Rivernorth Doubleline Strate | $356,000 | – | 21,932 | +100.0% | 0.14% | – |
| MFM | Buy | MFS Municipal Income Trustsh ben int | $333,000 | +11.0% | 54,167 | +17.1% | 0.13% | +25.5% |
| MHI | Buy | Pioneer Municipal High Income Trust | $331,000 | +73.3% | 30,188 | +75.6% | 0.13% | +94.1% |
| BTT | Buy | BlackRock Municipal 2030 Target Term Trust | $322,000 | +198.1% | 15,686 | +199.9% | 0.13% | +236.8% |
| FMY | Buy | First Trust Mortgage Income Fund | $300,000 | +5.3% | 22,901 | +7.8% | 0.12% | +18.8% |
| PHT | Buy | Pioneer High Income Trust | $285,000 | -10.4% | 35,765 | +4.2% | 0.11% | +0.9% |
| CXE | Buy | MFS High Income Municipal Trustsh ben int | $266,000 | +52.0% | 57,470 | +62.0% | 0.11% | +71.0% |
| VMO | Buy | Invesco Municipal Opportunity Trust | $259,000 | +13.6% | 23,131 | +16.2% | 0.10% | +27.2% |
| PYN | Buy | PIMCO New York Municipal Income Fund III | $243,000 | -6.2% | 28,035 | +2.2% | 0.10% | +5.4% |
| PZC | Buy | PIMCO California Municipal Income Fund III | $229,000 | +5.5% | 24,028 | +12.5% | 0.09% | +18.2% |
| EIM | New | Eaton Vance Mun Bd Fd | $221,000 | – | 19,593 | +100.0% | 0.09% | – |
| EXD | New | Eaton Vance Tax Adv Bd Opt S | $180,000 | – | 21,152 | +100.0% | 0.07% | – |
| MUC | New | BlackRock Munihldngs Cali QL | $173,000 | – | 14,050 | +100.0% | 0.07% | – |
| FPF | New | First Tr Inter Dur Pfd & In | $174,000 | – | 8,781 | +100.0% | 0.07% | – |
| BGB | New | Blackstone / GSO Strategic Credit Fund | $172,000 | – | 12,771 | +100.0% | 0.07% | – |
| IWV | New | IShares Trrussell 3000 etf | $169,000 | – | 1,150 | +100.0% | 0.07% | – |
| BTA | Buy | BlackRock Long-Term Municipal Advantage Trust | $160,000 | +63.3% | 14,998 | +72.7% | 0.06% | +82.9% |
| New | Flaherty & Crumrine Dynamic Preferred and Income Fund | $144,000 | – | 7,062 | +100.0% | 0.06% | – | |
| FFC | New | Flaherty & Crmn Pfd Sec Inc | $144,000 | – | 8,585 | +100.0% | 0.06% | – |
| NKX | New | Nuveen California Amt Qlt Mu | $127,000 | – | 10,000 | +100.0% | 0.05% | – |
| PNI | Buy | Pimco New York Municipal Income | $122,000 | +335.7% | 11,554 | +370.8% | 0.05% | +390.0% |
| EVO | Buy | Eaton Vance Ohio Municipal Income Trustsh ben int | $122,000 | +20.8% | 10,074 | +22.9% | 0.05% | +36.1% |
| MUH | New | BlackRock Munihldgs Fd II In | $107,000 | – | 8,242 | +100.0% | 0.04% | – |
| CMU | Buy | MFS High Yield Municipal Trustsh ben int | $106,000 | +112.0% | 25,367 | +129.0% | 0.04% | +133.3% |
| BFZ | New | BlackRock Calif Mun Income | $96,000 | – | 8,000 | +100.0% | 0.04% | – |
| EVM | New | Eaton Vance Calif Mun Bd Fd | $90,000 | – | 9,120 | +100.0% | 0.04% | – |
| TY | Buy | Tri-Continental Corp | $85,000 | -12.4% | 3,617 | +4.2% | 0.03% | 0.0% |
| NEA | Buy | Nuveen AMT-Free Quality Municipal Income Fund | $82,000 | -1.2% | 6,693 | +2.1% | 0.03% | +13.8% |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $77,000 | +165.5% | 14,258 | +234.9% | 0.03% | +210.0% |
| VWO | New | Vanguard Intl Equity Index Fftse emr mkt etf | $76,000 | – | 1,986 | +100.0% | 0.03% | – |
| TAK | New | Takeda Pharmaceutical Co Ltdsponsored adr | $67,000 | – | 4,000 | +100.0% | 0.03% | – |
| VCV | New | Invesco Calif Value Mun Inc | $68,000 | – | 6,000 | +100.0% | 0.03% | – |
| GDX | Buy | VanEck Vectors Gold Miners ETFgold miners etf | $64,000 | +14.3% | 3,039 | +0.5% | 0.03% | +30.0% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $54,000 | -22.9% | 2,930 | +0.6% | 0.02% | -12.0% |
| SPY | New | SPDR S&P 500 ETF Trtr unit | $55,000 | – | 220 | +100.0% | 0.02% | – |
| NVS | Buy | Novartis AGsponsored adr | $50,000 | +16.3% | 586 | +17.2% | 0.02% | +33.3% |
| EMD | New | Western Asset Emrg Mkt Debt | $47,000 | – | 3,811 | +100.0% | 0.02% | – |
| New | ASA Gold and Precious Metals Ltd | $47,000 | – | 5,015 | +100.0% | 0.02% | – | |
| EIV | New | Eaton Vance Mun Bd Fd II | $44,000 | – | 4,020 | +100.0% | 0.02% | – |
| MDY | New | SPDR S&P MidCap 400 ETF Trutser1 s&pdcrp | $45,000 | – | 150 | +100.0% | 0.02% | – |
| QQQ | New | Invesco QQQ Trunit ser 1 | $42,000 | – | 270 | +100.0% | 0.02% | – |
| FAX | New | Aberdeen Asia Pacific In Com | $40,000 | – | 10,349 | +100.0% | 0.02% | – |
| GDL | Buy | The GDL Fund | $39,000 | +2.6% | 4,219 | +1.1% | 0.02% | +23.1% |
| DMF | New | Dreyfus Mun Income Inc | $38,000 | – | 5,000 | +100.0% | 0.02% | – |
| NMT | New | Nuveen Massachusets Qlt Mun | $35,000 | – | 2,983 | +100.0% | 0.01% | – |
| MHE | New | BlackRock Mass Tax- Exempt Tr | $33,000 | – | 2,987 | +100.0% | 0.01% | – |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $33,000 | -13.2% | 1,630 | +1.7% | 0.01% | 0.0% |
| SU | Buy | Suncor Energy Inc | $29,000 | -6.5% | 1,049 | +31.3% | 0.01% | +9.1% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $30,000 | -21.1% | 2,462 | +1.8% | 0.01% | -7.7% |
| EQIX | Buy | Equinix Inc | $30,000 | +15.4% | 86 | +43.3% | 0.01% | +33.3% |
| FAM | New | First Trust Aberdeen Global Opportunity Income Fund | $27,000 | – | 2,915 | +100.0% | 0.01% | – |
| EMO | New | Clearbridge Energy Midstrm O | $28,000 | – | 3,542 | +100.0% | 0.01% | – |
| GAB | Buy | Gabelli Equity Trust Inc | $26,000 | -18.8% | 5,066 | +3.5% | 0.01% | -9.1% |
| ZF | Buy | Virtus Total Return Fund Inc | $24,000 | -14.3% | 2,721 | +1.5% | 0.01% | 0.0% |
| PNF | New | PIMCO NY Municipal Income Fd | $21,000 | – | 1,800 | +100.0% | 0.01% | – |
| BMRN | Buy | BioMarin Pharmaceutical Inc | $21,000 | +5.0% | 251 | +22.4% | 0.01% | +14.3% |
| ASML | Buy | ASML Holding N V | $16,000 | +166.7% | 100 | +233.3% | 0.01% | +200.0% |
| SE | Buy | Sea Limitedadr | $13,000 | -7.1% | 1,171 | +17.3% | 0.01% | 0.0% |
| MVC | Buy | MVC Capital Inc | $11,000 | -15.4% | 1,381 | +1.6% | 0.00% | -20.0% |
| UN | Buy | Unilever N.V. | $10,000 | 0.0% | 185 | +5.7% | 0.00% | 0.0% |
| JNJ | Buy | Johnson & Johnson | $11,000 | +37.5% | 82 | +39.0% | 0.00% | +33.3% |
| JPM | Buy | JPMorgan Chase & Co | $10,000 | -9.1% | 106 | +8.2% | 0.00% | 0.0% |
| AMZN | New | Amazon Com Inc | $9,000 | – | 6 | +100.0% | 0.00% | – |
| HD | Buy | The Home Depot Inc | $10,000 | +11.1% | 56 | +24.4% | 0.00% | +33.3% |
| DIS | Buy | The Walt Disney Co | $8,000 | 0.0% | 75 | +10.3% | 0.00% | 0.0% |
| NGG | Buy | Nuveen Preferred Income Opportunities Fundsponsored adr | $8,000 | 0.0% | 159 | +7.4% | 0.00% | 0.0% |
| TSM | Buy | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $8,000 | +60.0% | 205 | +69.4% | 0.00% | +50.0% |
| RCI | New | Rogers Communications Inccl b | $8,000 | – | 148 | +100.0% | 0.00% | – |
| UTX | Buy | United Technologies Corp | $7,000 | +16.7% | 68 | +51.1% | 0.00% | +50.0% |
| ORAN | Buy | Orange S.A.sponsored adr | $8,000 | +60.0% | 464 | +44.5% | 0.00% | +50.0% |
| SPG | Buy | Simon Property Group Inc | $8,000 | +33.3% | 46 | +35.3% | 0.00% | +50.0% |
| TJX | Buy | TJX Cos Inc | $5,000 | -16.7% | 116 | +100.0% | 0.00% | 0.0% |
| SAP | Buy | SAP SEspon adr | $6,000 | -14.3% | 62 | +10.7% | 0.00% | 0.0% |
| NOC | Buy | Northrop Grumman Corporation | $6,000 | -14.3% | 26 | +18.2% | 0.00% | 0.0% |
| SMFG | New | Sumitomo Mitsui Finl Group Isponsored adr | $4,000 | – | 653 | +100.0% | 0.00% | – |
| BDX | New | Becton Dickinson & Co | $5,000 | – | 24 | +100.0% | 0.00% | – |
| LULU | New | Lululemon Athletica Inc | $4,000 | – | 37 | +100.0% | 0.00% | – |
| INFO | New | HIS Markit Ltd | $5,000 | – | 98 | +100.0% | 0.00% | – |
Other managers
Other managers that, in addition to the filing manager(s), that filed the EDGAR filing(s):
- Virtus Investment Advisers, Inc. #1
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2019-02-14
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| SRH Total Return Fund Inc. | 42 | Q3 2023 | 7.3% |
| Central Securities Corp. | 42 | Q3 2023 | 5.0% |
| Adams Express Company | 42 | Q3 2023 | 3.3% |
| GENERAL AMERN INVS INC | 42 | Q3 2023 | 2.8% |
| The Herzfeld Caribbean Basin Fund, Inc. | 42 | Q3 2023 | 3.5% |
| Liberty All-Star Equity Fund | 42 | Q3 2023 | 2.9% |
| TRI CONTL CORP | 42 | Q3 2023 | 2.6% |
| WESTERN ASSET CLYM INFL OPP | 42 | Q3 2023 | 2.1% |
| Royce Value Trust Inc. | 42 | Q3 2023 | 1.4% |
| The New Germany Fund Inc | 42 | Q3 2023 | 1.2% |
View Thomas J. Herzfeld Advisors, Inc.'s complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| PROSHARES TRUSTSold out | October 03, 2022 | 0 | 0.0% |
| OFS Credit Company, Inc. | June 08, 2020 | 149,649 | 4.8% |
| Oxford Lane Capital Corp. | August 10, 2017 | 319,872 | 5.0% |
| Oxford Lane Capital Corp. | July 10, 2015 | 742,175 | 17.8% |
| HERZFELD CARIBBEAN BASIN FUND INC | February 24, 2014 | 229,788 | 6.2% |
| Oxford Lane Capital Corp.Sold out | November 21, 2013 | 0 | 0.0% |
View Thomas J. Herzfeld Advisors, Inc.'s complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-05-13 |
| 13F-HR | 2024-02-14 |
| SC 13G/A | 2024-01-17 |
| SC 13G | 2024-01-17 |
| SC 13G/A | 2023-12-05 |
| SC 13G/A | 2023-12-05 |
| SC 13G | 2023-11-17 |
| 13F-HR | 2023-11-13 |
| 13F-HR/A | 2023-08-16 |
| 13F-HR/A | 2023-08-16 |
View Thomas J. Herzfeld Advisors, Inc.'s complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.