$226 Million is the total value of Thomas J. Herzfeld Advisors, Inc.'s 349 reported holdings in Q3 2021. The portfolio turnover from Q2 2021 to Q3 2021 was 57.1% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HFRO | Buy | Highland Floating Rate Opportunities Fund | $27,312,000 | +0.0% | 2,535,919 | +1.3% | 12.06% | +5.9% |
| NHF | Buy | NexPoint Credit Strategies Fund | $17,580,000 | +2.7% | 1,263,868 | +1.6% | 7.76% | +8.7% |
| SHY | Buy | Ishares Tr 13 Yr1 3 yr treas bd | $7,761,000 | +303.6% | 90,086 | +303.6% | 3.43% | +327.3% |
| BIF | Buy | Boulder Growth & Income Fund Inc | $6,753,000 | +8.8% | 515,095 | +12.4% | 2.98% | +15.2% |
| TBF | Buy | ProShares TRshrt 20+ yr tre | $5,759,000 | +23.8% | 345,258 | +25.3% | 2.54% | +31.1% |
| NRGX | Buy | PIMCO Enrgy Tactical Cr Opp | $5,322,000 | +11.2% | 435,849 | +13.8% | 2.35% | +17.7% |
| PCI | Buy | PIMCO Dynamic Credit and Mortgage Income Fund | $5,087,000 | +18.2% | 240,745 | +25.2% | 2.25% | +25.1% |
| GAM | Buy | General American Investors Co Inc | $3,952,000 | +26.4% | 91,774 | +27.4% | 1.74% | +33.8% |
| VCIF | Buy | Vertical Capital Income Fund | $3,303,000 | +0.1% | 314,917 | +3.1% | 1.46% | +6.0% |
| ECC | Buy | Eagle Pt Cr Co LLC | $2,839,000 | +52.6% | 208,479 | +51.9% | 1.25% | +61.6% |
| CUBA | Buy | The Herzfeld Caribbean Basin Fund Inc | $2,825,000 | -1.3% | 494,718 | +8.4% | 1.25% | +4.5% |
| OXLC | Buy | Oxford Lane Cap Corp | $2,748,000 | +48.2% | 381,077 | +52.3% | 1.21% | +56.9% |
| WIW | Buy | Western Asset/Claymore Inflation-Linked Opportunities & Income Fund | $2,635,000 | +4.2% | 198,255 | +2.7% | 1.16% | +10.3% |
| DMO | Buy | Western Asset Mortgage Opp Fund Inc. | $2,094,000 | +2.5% | 135,433 | +3.3% | 0.92% | +8.6% |
| IBMJ | New | iShares Tribonds dec 2021 | $2,013,000 | – | 78,690 | +100.0% | 0.89% | – |
| JLS | Buy | Nuveen Mortgage and Income Fund | $1,967,000 | +1.8% | 94,802 | +2.5% | 0.87% | +7.8% |
| PGP | Buy | PIMCO Global StocksPLS Inc. | $1,876,000 | +107.3% | 173,426 | +112.7% | 0.83% | +119.6% |
| JRO | Buy | Nuveen Fltng Rte Incm Opp Fd | $1,819,000 | +4.8% | 182,277 | +2.5% | 0.80% | +10.9% |
| RCL | Buy | Royal Caribbean Cruises Ltd | $1,746,000 | +4.4% | 19,633 | +0.1% | 0.77% | +10.6% |
| FUMB | New | First Trust Ultra Short Duration Municipalultra sht dur mu | $1,588,000 | – | 78,717 | +100.0% | 0.70% | – |
| NML | Buy | Neuberger Berman MLP Income Fund Inc | $1,368,000 | -1.4% | 277,507 | +0.0% | 0.60% | +4.3% |
| SMM | Buy | Salient Midstream & MLP Fdsh ben int | $1,092,000 | +6.5% | 171,988 | +0.0% | 0.48% | +12.6% |
| JMST | New | JP Morgan Exchange-Traded Fultra sht muncpl | $1,087,000 | – | 21,275 | +100.0% | 0.48% | – |
| IHI | Buy | iShares U.S. Medical Devices ETFu.s. med dvc etf | $1,077,000 | +526.2% | 17,148 | +500.0% | 0.48% | +561.1% |
| SUB | New | iShares Trshrt nat mun etf | $889,000 | – | 8,266 | +100.0% | 0.39% | – |
| JRS | New | Nuveen Real Estate Income Fund | $552,000 | – | 51,956 | +100.0% | 0.24% | – |
| WIA | Buy | Western Asset/Claymore Inflation-Linked Securities & Income Fund | $353,000 | -1.4% | 25,625 | +0.3% | 0.16% | +4.7% |
| NUO | Buy | Nuveen Ohio Qlty Mun Income | $308,000 | -2.5% | 19,446 | +0.8% | 0.14% | +3.0% |
| GPM | New | Guggenheim Enhanced Equity Income Fund | $226,000 | – | 25,136 | +100.0% | 0.10% | – |
| DTF | Buy | DTF Tax-Free Income Inc | $185,000 | -1.1% | 12,774 | +2.4% | 0.08% | +5.1% |
| LRFC | New | Logan Ridge Finance Corp | $154,000 | – | 6,000 | +100.0% | 0.07% | – |
| PFX | Buy | Phenixfin Corp | $141,000 | +65.9% | 3,283 | +57.6% | 0.06% | +77.1% |
| TY | Buy | Tri-Continental Corp | $136,000 | -2.2% | 4,073 | +0.2% | 0.06% | +3.4% |
| ASLEW | New | Aersale Corporationw exp 12/22/202 | $123,000 | – | 20,000 | +100.0% | 0.05% | – |
| CEV | Buy | Eaton Vance Calif Mun Incomsh ben int | $120,000 | +0.8% | 8,782 | +2.8% | 0.05% | +6.0% |
| NEWT | New | Newtek Business Svcs Corp | $111,000 | – | 4,000 | +100.0% | 0.05% | – |
| PEO | Buy | Adams Natural Resources Fund Inc | $109,000 | -2.7% | 6,935 | +0.3% | 0.05% | +2.1% |
| SONY | Buy | Sony Corpsponsored adr | $105,000 | +45.8% | 951 | +28.2% | 0.05% | +53.3% |
| PCF | New | High Income Secs Fd Shs | $95,000 | – | 10,878 | +100.0% | 0.04% | – |
| CNI | Buy | Canadian National Railway Company | $77,000 | +28.3% | 670 | +18.6% | 0.03% | +36.0% |
| BGX | Buy | Blackstone / GSO Long-Short Credit Income Fund | $74,000 | +1.4% | 4,893 | +0.9% | 0.03% | +10.0% |
| PYPL | Buy | PayPal Holdings, Inc. | $67,000 | -5.6% | 258 | +6.2% | 0.03% | 0.0% |
| PUK | Buy | Prudential PLCadr | $60,000 | +20.0% | 1,537 | +17.9% | 0.03% | +23.8% |
| QQQX | Buy | Nuveen NASDAQ 100 Dynamic Overwrite Fund | $56,000 | -1.8% | 1,966 | +1.5% | 0.02% | +4.2% |
| RYAAY | Buy | Ryanair Holdings plc ADRsponsored ads | $56,000 | +12.0% | 513 | +10.1% | 0.02% | +19.0% |
| RVT | Buy | Royce Value Trust Inc | $55,000 | -3.5% | 3,065 | +1.9% | 0.02% | 0.0% |
| JMM | Buy | Nuveen Multi-Market Income Fund Inc | $52,000 | +2.0% | 6,926 | +0.7% | 0.02% | +9.5% |
| ASG | Buy | Liberty All Star Growth Fund Inc | $53,000 | -1.9% | 6,196 | +2.0% | 0.02% | 0.0% |
| JCE | Buy | Nuveen Core Equity Alpha Fund | $50,000 | +2.0% | 3,028 | +1.8% | 0.02% | +10.0% |
| SNY | Buy | Sanofisponsored adr | $50,000 | +8.7% | 1,039 | +17.7% | 0.02% | +15.8% |
| BCS | New | Barclays PLCadr | $48,000 | – | 4,636 | +100.0% | 0.02% | – |
| USA | Buy | Liberty All Star Equity Fundsh ben int | $46,000 | -2.1% | 5,389 | +2.6% | 0.02% | 0.0% |
| GAB | Buy | Gabelli Equity Trust Inc | $44,000 | -2.2% | 6,672 | +2.2% | 0.02% | 0.0% |
| NVO | Buy | Novo Nordisk A/S ADRadr | $43,000 | +760.0% | 445 | +641.7% | 0.02% | +850.0% |
| GDL | Buy | The GDL Fund | $44,000 | +2.3% | 4,849 | +1.3% | 0.02% | +5.6% |
| TSM | Buy | Taiwan Semiconductor Manufacturing Company Limitedsponsored adr | $36,000 | -2.7% | 326 | +4.5% | 0.02% | +6.7% |
| GDV | Buy | The Gabelli Dividend & Income Trust | $35,000 | 0.0% | 1,356 | +1.3% | 0.02% | 0.0% |
| AMZN | Buy | Amazon Com Inc | $30,000 | +7.1% | 9 | +12.5% | 0.01% | +8.3% |
| FINS | New | Angel Oak Final Strategies Incm Trm Trst | $26,000 | – | 1,556 | +100.0% | 0.01% | – |
| GOOG | Buy | Alphabet, Inc. Cl Ccl c | $24,000 | +20.0% | 9 | +12.5% | 0.01% | +37.5% |
| FTCH | New | Farfetch Ltd | $21,000 | – | 547 | +100.0% | 0.01% | – |
| BDJ | Buy | BlackRock Enhanced Equity Dividend Trust | $18,000 | 0.0% | 1,831 | +1.4% | 0.01% | 0.0% |
| New | Docebo Inc. | $17,000 | – | 228 | +100.0% | 0.01% | – | |
| New | Angel Oak Finl Strategies inright 10/14/2021 | $16,000 | – | 73,420 | +100.0% | 0.01% | – | |
| ZTR | Buy | Virtus Total Return Fund Inc. | $15,000 | -6.2% | 1,661 | +2.5% | 0.01% | 0.0% |
| New | Li-Cycle Holdings Corp.w exp 8/10/202 | $15,000 | – | 6,044 | +100.0% | 0.01% | – | |
| New | Matterport Incw exp 08/24/202 | $13,000 | – | 1,640 | +100.0% | 0.01% | – | |
| MOTVWS | New | Motive Capital Corpw exp 12/31/202 | $13,000 | – | 10,000 | +100.0% | 0.01% | – |
| New | Archaea Energy Inc.w exp 10/26/202 | $12,000 | – | 1,588 | +100.0% | 0.01% | – | |
| CHPT | New | Chargepoint Holdings Inc. | $11,000 | – | 529 | +100.0% | 0.01% | – |
| ADBE | Buy | Adobe Systems, Inc. | $9,000 | +80.0% | 15 | +87.5% | 0.00% | +100.0% |
| AVPT | New | Avepoint Inc. | $8,000 | – | 967 | +100.0% | 0.00% | – |
| IBN | Buy | ICICI Bank Ltdadr | $10,000 | +25.0% | 519 | +9.3% | 0.00% | +33.3% |
| KPLT | Buy | Katapult Holdings Inc. | $8,000 | +60.0% | 1,420 | +238.1% | 0.00% | +100.0% |
| MCO | Buy | Moody's Corp. | $8,000 | 0.0% | 22 | +4.8% | 0.00% | +33.3% |
| New | Oppfi Incw exp 07/20/202 | $10,000 | – | 6,315 | +100.0% | 0.00% | – | |
| STM | Buy | STMicroelectronics N Vny registry | $8,000 | +100.0% | 178 | +47.1% | 0.00% | +100.0% |
| MDT | Buy | Medtronic plc | $10,000 | +11.1% | 83 | +13.7% | 0.00% | 0.0% |
| RONIU | New | Rice Acquisition Corpcorp ii unit 99/99 | $10,000 | – | 1,000 | +100.0% | 0.00% | – |
| BBY | Buy | Best Buy Inc. | $6,000 | 0.0% | 60 | +13.2% | 0.00% | 0.0% |
| UPS | Buy | United Parcel Service Inccl b | $6,000 | +20.0% | 34 | +54.5% | 0.00% | +50.0% |
| CME | New | CME Group Inc. | $6,000 | – | 30 | +100.0% | 0.00% | – |
| IDXX | Buy | IDEXX Labs Inc. | $6,000 | +20.0% | 9 | +12.5% | 0.00% | +50.0% |
| New | TMC The Metals Company Incw exp 09/09/202 | $6,000 | – | 6,739 | +100.0% | 0.00% | – | |
| AMAT | New | Applied Materials, Inc. | $6,000 | – | 46 | +100.0% | 0.00% | – |
| HLT | Buy | Hilton, Inc | $6,000 | +50.0% | 49 | +36.1% | 0.00% | +50.0% |
| HUBS | New | HubSpot Inc. | $5,000 | – | 8 | +100.0% | 0.00% | – |
| HDB | Buy | HDFC Bank Ltdsponsored ads | $4,000 | +33.3% | 59 | +28.3% | 0.00% | +100.0% |
| SAP | New | SAP SEspon adr | $5,000 | – | 36 | +100.0% | 0.00% | – |
| SUNLWS | New | Sunlight Financial Holdingsw exp 07/09/202 | $4,000 | – | 3,250 | +100.0% | 0.00% | – |
| GLW | New | Corning Inc. | $4,000 | – | 112 | +100.0% | 0.00% | – |
| TTE | Buy | Totalenergies SEsponsored ads | $5,000 | 0.0% | 104 | +1.0% | 0.00% | 0.0% |
| CARR | Buy | Carrier Global Corporation | $4,000 | 0.0% | 84 | +1.2% | 0.00% | 0.0% |
| ACMR | New | ACM Reseach Inc. | $2,000 | – | 16 | +100.0% | 0.00% | – |
| New | Jackson Financial Inc. | $2,000 | – | 76 | +100.0% | 0.00% | – | |
| UMC | New | United Microelectronics Corpspon adr new | $2,000 | – | 208 | +100.0% | 0.00% | – |
| NTCO | New | Natura & Co Hldgs S Aads | $1,000 | – | 63 | +100.0% | 0.00% | – |
| LU | New | Lufax Holdings LTD | $1,000 | – | 186 | +100.0% | 0.00% | – |
| GDS | New | GDS Holdingssponsored ads | $1,000 | – | 26 | +100.0% | 0.00% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2021-11-12
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 | 2024-02-14 |
| 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 |
| SC 13G | 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.