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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
+1.42%
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
$275M
AUM Growth
+$49M
Cap. Flow
+$45.2M
Cap. Flow %
16.42%
Top 10 Hldgs %
37.85%
Holding
401
New
52
Increased
123
Reduced
37
Closed
40

Top Buys

Rank Stock Value
1
PCF
High Income Securities Fund
PCF
+$7.09M
2
PDI icon
PIMCO Dynamic Income Fund
PDI
+$6.58M
3
ECAT icon
BlackRock ESG Capital Allocation Term Trust
ECAT
+$4.47M
4
BCAT icon
BlackRock Capital Allocation Term Trust
BCAT
+$4.45M
5
NMAI icon
Nuveen Multi-Asset Income Fund
NMAI
+$4.24M

Top Sells

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$6.63M
2
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$5.09M
3
JTD
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
+$2.81M
4
CRF
Cornerstone Total Return Fund
CRF
+$2.38M
5
CLM icon
Cornerstone Strategic Value Fund
CLM
+$2.17M

Sector Composition

Rank Sector Weight
1 Financials 9.71%
2 Industrials 4.55%
3 Consumer Discretionary 2.09%
4 Materials 1.6%
5 Utilities 0.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ORGNW
376
DELISTED
Origin Materials Inc Warrants
ORGNW
– –
-1,853
Closed -$3K
OTIS icon
377
Otis Worldwide
OTIS
$27.3B
– –
-427
Closed -$35K
PUK icon
378
Prudential
PUK
$37.6B
– –
-1,537
Closed -$60K
QSI icon
379
Quantum-Si Incorporated
QSI
$155M
– –
-965
Closed -$8K
RDY icon
380
Dr. Reddy's Laboratories
RDY
$9.8B
– –
-120
Closed -$2K
SUB icon
381
iShares Short-Term National Muni Bond ETF
SUB
$11.4B
– –
-8,266
Closed -$889K
TM icon
382
Toyota
TM
$223B
– –
-277
Closed -$49K
TMCWW
383
TMC The Metals Company Warrants
TMCWW
$467K
– –
-6,739
Closed -$6K
VPV icon
384
Invesco Pennsylvania Value Municipal Income Trust
VPV
$196M
– –
-16,250
Closed -$215K
FREEW
385
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
– –
-4,243
Closed -$7K
NTCO
386
DELISTED
Natura &Co Holding S.A. American Depositary Shares (each representing two Common Shares)
NTCO
– –
-63
Closed -$1K
TMPOW
387
DELISTED
Tempo Automation Holdings, Inc. Warrant
TMPOW
– –
-2,192
Closed -$1K
SUNL.WS
388
DELISTED
Sunlight Financial Holdings, Inc. Warrants, exercisable for 1/20th of a share of Class A Common Stock at an exercise price of $230.00
SUNL.WS
– –
-3,250
Closed -$4K
RONI.U
389
DELISTED
Rice Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
RONI.U
– –
-1,000
Closed -$10K
RBAC.U
390
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-298
Closed -$3K
RVI
391
DELISTED
Retail Value Inc. Common Shares
RVI
– –
-432,487
Closed -$1.04M
FMAC.WS
392
DELISTED
FirstMark Horizon Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one shar
FMAC.WS
– –
-4,292
Closed -$5K
ASLEW
393
DELISTED
AerSale Corp Warrants
ASLEW
– –
-20,000
Closed -$123K
PCI
394
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-240,745
Closed -$5.09M
LFG.WS
395
DELISTED
Archaea Energy Inc. Warrants, exercisable for one share of Class A common stock at an exercise price
LFG.WS
– –
-1,588
Closed -$12K
JTD
396
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-177,689
Closed -$2.81M
BOWXW
397
DELISTED
BowX Acquisition Corp. Warrant
BOWXW
– –
-4,399
Closed -$9K
FINS.RT
398
DELISTED
Angel Oak Financial Strategies Income Term Trust Rights (expires October 14, 2021)
FINS.RT
– –
-73,420
Closed -$16K
JRO
399
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-182,277
Closed -$1.82M
IBMJ
400
DELISTED
iShares iBonds Dec 2021 Term Muni Bond ETF
IBMJ
– –
-78,690
Closed -$2.01M
13 14 15
16
17

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PCI
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PC
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DMBA
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MEPT
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ECM
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CWA
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Thomas J. Herzfeld Advisors's Q4 2021 Portfolio in Review

As of Q4 2021, Thomas J. Herzfeld Advisors held 401 positions worth $275M, up 22% from $226M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Thomas J. Herzfeld Advisors deployed $45.2M of net new capital in Q4 2021, opening 52 new positions and adding to 123 existing holdings. Its largest new stake was PIMCO Dynamic Income Fund: 251,677 shares worth $6.52M.

By sector, the portfolio is most concentrated in Financials at 9.7% of assets, up from 8.2% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 1-3 Year Treasury Bond ETF, an estimated $6.63M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q4 2021 buy was PIMCO Dynamic Income Fund: 251,677 shares worth $6.52M.
  • Thomas J. Herzfeld Advisors added most to High Income Securities Fund in Q4 2021, an estimated $7.09M increase.
  • Thomas J. Herzfeld Advisors's biggest Q4 2021 reduction was iShares 1-3 Year Treasury Bond ETF, cutting an estimated $6.63M.
  • Thomas J. Herzfeld Advisors fully exited PIMCO Dynamic Credit and Mortgage Income Fund in Q4 2021, selling an estimated $5.09M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 38% of its $275M portfolio in Q4 2021.
  • Thomas J. Herzfeld Advisors opened 52 new positions and closed 40 in Q4 2021.
  • Thomas J. Herzfeld Advisors's portfolio value rose 22% quarter-over-quarter to $275M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q4 2021, filed 14 Feb 2022.