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TJHA

Thomas J. Herzfeld Advisors Portfolio holdings

AUM $294M
1-Year Est. Return 2.62%
This Fund
S&P 500
This Quarter Est. Return
+2.36%
1 Year Est. Return
-2.62%
3 Year Est. Return
+17.9%
5 Year Est. Return
+9.72%
10 Year Est. Return
+46.96%
AUM
$175M
AUM Growth
+$20.1M
Cap. Flow
+$8.45M
Cap. Flow %
4.82%
Top 10 Hldgs %
26.97%
Holding
328
New
49
Increased
91
Reduced
74
Closed
31

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$2.18M
2
OXLCO
Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023
OXLCO
+$1.29M
3
FSD
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
+$808K
4
DSL
DoubleLine Income Solutions Fund
DSL
+$785K
5
FPF
First Trust Intermediate Duration Preferred & Income Fund
FPF
+$631K

Top Sells

Rank Stock Value
1
PSMT icon
Pricesmart
PSMT
+$1.38M
2
PDI icon
PIMCO Dynamic Income Fund
PDI
+$926K
3
FTT
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
+$581K
4
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$545K
5
CPA icon
Copa Holdings
CPA
+$480K

Sector Composition

Rank Sector Weight
1 Financials 5.6%
2 Consumer Staples 4.5%
3 Industrials 3.66%
4 Consumer Discretionary 3.13%
5 Materials 1.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ISL
226
DELISTED
Aberdeen Israel Fund
ISL
$46K 0.03%
2,750
– –
MVC
227
DELISTED
MVC Capital, Inc.
MVC
$45K 0.03%
3,318
– –
PDT
228
John Hancock Premium Dividend Fund
PDT
$637M
$42K 0.02%
3,625
-631
-15% -$7.55K
GLU
229
Gabelli Utility & Income Trust
GLU
$115M
$35K 0.02%
1,763
+1,095
+164% +$21.5K
MSF
230
DELISTED
Morgan Stanley Emerging Mkts Fd
MSF
$35K 0.02%
2,264
– –
CXH
231
DELISTED
MFS Investment Grade Municipal Trust
CXH
$34K 0.02%
3,907
– –
SWZ
232
Swiss Helvetia Fund
SWZ
$76.7M
$34K 0.02%
2,402
– –
NCB
233
DELISTED
Nuveen California Municipal Value Fund 2
NCB
$34K 0.02%
2,317
+1,925
+491% +$28K
RNE
234
DELISTED
MORGAN STLY EASTEURO FD
RNE
$33K 0.02%
1,615
– –
BQY
235
DELISTED
BLACKROCK DIVIDEND INCOME TR COM SHS
BQY
$32K 0.02%
2,500
– –
TAI
236
DELISTED
TRANSAMERICA INCOME SHS INC
TAI
$28K 0.02%
1,359
– –
SBSA
237
DELISTED
Spanish Broadcasting System Inc.
SBSA
$27K 0.02%
8,030
– –
ETX
238
Eaton Vance Municipal Income 2028 Term Trust
ETX
$198M
$26K 0.01%
+1,801
New +$25.8K
MUJ icon
239
BlackRock MuniHoldings New Jersey Quality Fund
MUJ
$643M
$26K 0.01%
2,000
– –
STK
240
Columbia Seligman Premium Technology Growth Fund
STK
$823M
$25K 0.01%
+1,726
New +$25K
NKG.PRC
241
DELISTED
NUVEEN GA DIVID ADVANTAGE MUN FD 2 PFD SHS (MA)
NKG.PRC
$25K 0.01%
2,500
– –
BZM
242
DELISTED
BlackRock Maryland Municipal Bond Trust
BZM
$25K 0.01%
+2,000
New +$25K
NPF
243
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$25K 0.01%
+2,000
New +$24.8K
NMY
244
DELISTED
Nuveen Maryland Quality Municipal Income Fund
NMY
$24K 0.01%
2,000
– –
GAB icon
245
Gabelli Equity Trust
GAB
$1.76B
$23K 0.01%
3,185
+81
+3% +$548
NHS
246
Neuberger High Yield Strategies Fund Inc
NHS
$251M
$23K 0.01%
1,743
– –
TY.PR icon
247
Tri-Continental Corporation $2.50 Cumulative Preferred
TY.PR
$31.4M
$22K 0.01%
500
– –
TYG.PRB
248
DELISTED
TORTOISE ENERGY INFRASTRUCTURE CORPORATION MANDATORY RED PFD
TYG.PRB
$22K 0.01%
2,600
-700
-21% -$6.02K
NUC
249
DELISTED
NUVEEN CALIF QUAL INCM MUNI FD
NUC
$22K 0.01%
+1,500
New +$21.5K
JCE icon
250
Nuveen Core Equity Alpha Fund
JCE
$278M
$21K 0.01%
1,266
+22
+2% +$359
8 9
10
11 12

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SM
Selkirk Management Chatham, New Jersey $294M AUM 26.84% 1-Year Est. Return
PCI
Pacifica Capital Investments Leander, Texas $294M AUM 45.89% 1-Year Est. Return
PC
Permit Capital West Conshohocken, Pennsylvania $294M AUM 27.9% 1-Year Est. Return
DMBA
Deseret Mutual Benefit Administrators Salt Lake City, Utah $294M AUM 19.14% 1-Year Est. Return
MFC
Morris Financial Concepts Mount Pleasant, South Carolina $295M AUM 17.25% 1-Year Est. Return
MEPT
Missouri Education Pension Trust Jefferson City, Missouri $294M AUM
ECM
Engle Capital Management Greenwich, Connecticut $293M AUM 68.31% 1-Year Est. Return

Thomas J. Herzfeld Advisors's Q4 2013 Portfolio in Review

As of Q4 2013, Thomas J. Herzfeld Advisors held 328 positions worth $175M, up 13% from $155M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Thomas J. Herzfeld Advisors deployed $8.45M of net new capital in Q4 2013, opening 49 new positions and adding to 91 existing holdings. Its largest new stake was PIMCO Dynamic Credit and Mortgage Income Fund: 98,305 shares worth $2.21M.

By sector, the portfolio is most concentrated in Financials at 5.6% of assets, down from 5.9% a quarter earlier, followed by Consumer Staples and Industrials.

On the sell side, the largest reduction was Pricesmart, an estimated $1.38M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q4 2013 buy was PIMCO Dynamic Credit and Mortgage Income Fund: 98,305 shares worth $2.21M.
  • Thomas J. Herzfeld Advisors added most to Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023 in Q4 2013, an estimated $1.29M increase.
  • Thomas J. Herzfeld Advisors's biggest Q4 2013 reduction was Pricesmart, cutting an estimated $1.38M.
  • Thomas J. Herzfeld Advisors fully exited Allianzgi Intl & Prem Strategy Fnd Com Shs Of Bene Int in Q4 2013, selling an estimated $176K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 27% of its $175M portfolio in Q4 2013.
  • Thomas J. Herzfeld Advisors opened 49 new positions and closed 31 in Q4 2013.
  • Thomas J. Herzfeld Advisors's portfolio value rose 13% quarter-over-quarter to $175M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q4 2013, filed 13 Feb 2014.