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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
PMM
276
Franklin Managed Municipal Income Trust
PMM
$271M
$10K 0.01%
1,500
– –
MMV
277
DELISTED
Eaton Vance Massachusetts Municipal Income Trust
MMV
$10K 0.01%
833
– –
LDF
278
DELISTED
Latin American Discovery Fund
LDF
$10K 0.01%
800
– –
GRR
279
DELISTED
Asia Tigers Fund
GRR
$10K 0.01%
892
– –
NCU.PRC
280
DELISTED
NUVEEN CALIFORNIA PREMIUM INCOME MUNICIPAL MUNIFUND TERM PFD
NCU.PRC
$10K 0.01%
1,000
– –
NKG.PRD
281
DELISTED
NUVEEN GEORGIA DIVIDEND ADVANTAGE MUNI FD 2 2.65% TERM PFD
NKG.PRD
$10K 0.01%
1,000
– –
ENZ
282
DELISTED
Enzo Biochem, Inc.
ENZ
$9K 0.01%
3,000
– –
MCN
283
Madison Covered Call & Equity Strategy Fund
MCN
$117M
$8K ﹤0.01%
1,000
– –
PHF
284
DELISTED
Pacholder High Yield
PHF
$8K ﹤0.01%
+1,000
New +$8.02K
HXM
285
DELISTED
DESARROLLADORA HOMES DA DE CV (HOMEX DEV. CORP)
HXM
$7K ﹤0.01%
6,100
– –
RAND icon
286
Rand Capital
RAND
$29.9M
$6K ﹤0.01%
222
– –
EMJ
287
DELISTED
Eaton Vance New Jersey Municipal Bond Fund
EMJ
$6K ﹤0.01%
+500
New +$5.75K
NGX
288
DELISTED
NUVEEN MASS AMT-FREE MUNI INC FD
NGX
$6K ﹤0.01%
504
-6,600
-93% -$79.2K
F icon
289
Ford
F
$59.6B
$5K ﹤0.01%
350
– –
CORR
290
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
$4K ﹤0.01%
102
– –
LAQ
291
DELISTED
Aberdeen Latin America Equity Fund
LAQ
$2K ﹤0.01%
88
– –
THI
292
DELISTED
TIM HORTONS INC COM, CANADA
THI
$1K ﹤0.01%
13
– –
HSA
293
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$1K ﹤0.01%
166
– –
IIM icon
294
Invesco Value Municipal Income Trust
IIM
$590M
– –
-2,000
Closed -$27K
OIA icon
295
Invesco Municipal Income Opportunities Trust
OIA
$293M
– –
-3,400
Closed -$22K
VFL
296
DELISTED
abrdn National Municipal Income Fund
VFL
– –
-2,000
Closed -$24K
VPV icon
297
Invesco Pennsylvania Value Municipal Income Trust
VPV
$193M
– –
-1,000
Closed -$13K
GGT.PRB.CL
298
DELISTED
Gabelli Multimedia Trust Inc. 6.00% Series B Called
GGT.PRB.CL
– –
-4,934
Closed -$123K
GCV.PRB.CL
299
DELISTED
Gabelli Convertible and Income Securities Fund Series 6.00% Cumulative Called for Redemption
GCV.PRB.CL
– –
-1,754
Closed -$44K
NNC
300
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
– –
-500
Closed -$6K
9 10 11
12
13

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SM
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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.