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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
-4.56%
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
$234M
AUM Growth
-$7M
Cap. Flow
+$5.84M
Cap. Flow %
2.49%
Top 10 Hldgs %
57.02%
Holding
347
New
25
Increased
51
Reduced
52
Closed
39

Top Buys

Rank Stock Value
1
USFR icon
WisdomTree Floating Rate Treasury Fund
USFR
+$23.9M
2
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$14.5M
3
SJB icon
ProShares Short High Yield
SJB
+$8.53M
4
PDX
PIMCO Dynamic Income Strategy Fund
PDX
+$1.81M
5
SRV
NXG Cushing Midstream Energy Fund
SRV
+$1.5M

Top Sells

Rank Stock Value
1
CLM icon
Cornerstone Strategic Value Fund
CLM
+$7.6M
2
NSLR
Neostellar Capital Corp
NSLR
+$3.57M
3
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$3.21M
4
PCF
High Income Securities Fund
PCF
+$3.18M
5
BSTZ icon
BlackRock Science and Technology Term Trust
BSTZ
+$2.63M

Sector Composition

Rank Sector Weight
1 Financials 3.98%
2 Industrials 3.35%
3 Consumer Discretionary 2.12%
4 Energy 1.23%
5 Materials 1.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OPFI.WS
326
DELISTED
OppFi Inc Warrants
OPFI.WS
– –
-6,315
Closed -$2K
OXLC
327
Oxford Lane Capital
OXLC
$894M
– –
-31,528
Closed -$895K
PFX icon
328
PhenixFIN
PFX
– –
-3,700
Closed -$135K
PGP
329
PIMCO Global StockPLUS & Income Fund
PGP
$98.1M
– –
-7,535
Closed -$59K
PTA icon
330
Cohen & Steers Tax-Advantaged Preferred Securities & Income Fund
PTA
$1.04B
– –
-114,494
Closed -$2.18M
RARE icon
331
Ultragenyx Pharmaceutical
RARE
$2.45B
– –
-30
Closed -$2K
SAR icon
332
Saratoga Investment
SAR
$312M
– –
-81,998
Closed -$1.97M
SNY icon
333
Sanofi
SNY
$103B
– –
-1,239
Closed -$62K
STK
334
Columbia Seligman Premium Technology Growth Fund
STK
$867M
– –
-3,853
Closed -$97K
STM icon
335
STMicroelectronics
STM
$46.7B
– –
-178
Closed -$6K
TBF icon
336
ProShares Short 20+ Year Treasury ETF
TBF
$87.9M
– –
-160,345
Closed -$3.21M
VVR icon
337
Invesco Senior Income Trust
VVR
$457M
– –
-642,734
Closed -$2.5M
WDI
338
Western Asset Diversified Income Fund
WDI
$680M
– –
-168,494
Closed -$2.33M
WEN icon
339
Wendy's
WEN
$1.4B
– –
-42
Closed -$1K
SMAR
340
DELISTED
Smartsheet Inc.
SMAR
– –
-47
Closed -$1K
TWKS
341
DELISTED
Thoughtworks Holding, Inc. Common Stock
TWKS
– –
-82
Closed -$1K
WE.WS
342
DELISTED
WeWork Inc. Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
WE.WS
– –
-2,399
Closed -$2K
DOMA.WS
343
DELISTED
Doma Holdings, Inc. Warrants, Every 25 warrants will be exercisable for one share of Common Stock at an exercise price of $287.50 per share of Common Stock
DOMA.WS
– –
-5,000
Closed -$1K
PIPP.WS
344
DELISTED
Pine Island Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
PIPP.WS
– –
-4,597
Closed -$1K
SMM
345
DELISTED
Salient Midstream & MLP Fund
SMM
– –
-5,000
Closed -$38K
PSTH.WS
346
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
– –
-3,000
Closed -$1K
FRGE.WS
347
DELISTED
Forge Global Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock a
FRGE.WS
– –
-44,802
Closed -$3K
10 11 12 13
14

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Thomas J. Herzfeld Advisors's Q3 2022 Portfolio in Review

As of Q3 2022, Thomas J. Herzfeld Advisors held 347 positions worth $234M, down 2.9% from $241M the previous quarter. Its ten largest holdings account for 57% of the portfolio.

Thomas J. Herzfeld Advisors's Q3 2022 filing shows 25 new, 51 increased, 52 reduced and 39 closed positions. Its largest new stake was iShares Core US Aggregate Bond ETF: 143,372 shares worth $13.8M. The largest sale was Cornerstone Strategic Value Fund, an estimated $7.6M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, down from 7.6% a quarter earlier, followed by Industrials and Consumer Discretionary.

  • Thomas J. Herzfeld Advisors's largest Q3 2022 buy was iShares Core US Aggregate Bond ETF: 143,372 shares worth $13.8M.
  • Thomas J. Herzfeld Advisors added most to WisdomTree Floating Rate Treasury Fund in Q3 2022, an estimated $23.9M increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2022 reduction was Cornerstone Strategic Value Fund, cutting an estimated $7.6M.
  • Thomas J. Herzfeld Advisors fully exited ProShares Short 20+ Year Treasury ETF in Q3 2022, selling an estimated $3.21M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 57% of its $234M portfolio in Q3 2022.
  • Thomas J. Herzfeld Advisors opened 25 new positions and closed 39 in Q3 2022.
  • Thomas J. Herzfeld Advisors's portfolio value fell 2.9% quarter-over-quarter to $234M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2022, filed 14 Nov 2022.