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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
+6.77%
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
$188M
AUM Growth
-$838K
Cap. Flow
-$11.5M
Cap. Flow %
-6.14%
Top 10 Hldgs %
38.04%
Holding
322
New
15
Increased
71
Reduced
88
Closed
28

Top Buys

Rank Stock Value
1
SPE.PRB
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
+$725K
2
ESRT icon
Empire State Realty Trust
ESRT
+$701K
3
MIE
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
+$649K
4
CET
Central Securities Corp
CET
+$553K
5
STEW
SRH Total Return Fund
STEW
+$549K

Top Sells

Rank Stock Value
1
CAF
Morgan Stanley China A Share Fund
CAF
+$2.02M
2
FOF icon
Cohen & Steers Closed End Opportunity Fund
FOF
+$1.5M
3
GDV icon
Gabelli Dividend & Income Trust
GDV
+$1.27M
4
NDP
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
+$1.05M
5
NTG
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
+$973K

Sector Composition

Rank Sector Weight
1 Industrials 6.09%
2 Financials 6.06%
3 Consumer Discretionary 5.58%
4 Consumer Staples 2.58%
5 Materials 1.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SEVN
26
Seven Hills Realty Trust
SEVN
$179M
$2.2M 1.17%
105,033
-34,884
-25% -$738K
LEN icon
27
Lennar Class A
LEN
$20.4B
$2.1M 1.12%
52,003
– –
NCLH icon
28
Norwegian Cruise Line
NCLH
$8.89B
$2.09M 1.11%
55,443
+11,000
+25% +$427K
CCL icon
29
Carnival Corporation Ltd
CCL
$36.1B
$2.02M 1.08%
41,400
+7,000
+20% +$324K
FDEU
30
DELISTED
First Trust Dynamic Europe Equity Income Fund
FDEU
$2.01M 1.07%
127,856
+11,515
+10% +$187K
SEB icon
31
Seaboard Corp
SEB
$4.52B
$2M 1.06%
580
– –
RVT icon
32
Royce Value Trust
RVT
$2.21B
$1.92M 1.02%
151,987
+559
+0.4% +$7.01K
CX icon
33
Cemex
CX
$17.4B
$1.62M 0.86%
212,470
+5,200
+3% +$38.3K
RDS.B
34
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$1.6M 0.85%
803
+16
+2% +$857
GF
35
New Germany Fund
GF
$184M
$1.59M 0.85%
110,966
-1,212
-1% -$16.9K
CWCO icon
36
Consolidated Water Co
CWCO
$469M
$1.5M 0.8%
129,538
– –
UTF icon
37
Cohen & Steers Infrastructure Fund
UTF
$3.14B
$1.49M 0.8%
69,303
-33,621
-33% -$719K
WSO icon
38
Watsco Inc
WSO
$14.9B
$1.42M 0.76%
10,100
– –
DRA
39
DELISTED
Diversified Real Asset Income Fd
DRA
$1.38M 0.73%
80,067
-2,174
-3% -$37.3K
JOF
40
Japan Smaller Capitalization Fund
JOF
$320M
$1.33M 0.71%
126,410
-1,010
-0.8% -$10.3K
SPE
41
Special Opportunities Fund
SPE
$140M
$1.33M 0.71%
93,445
-293
-0.3% -$4.05K
AVH
42
DELISTED
AVIANCA HOLDINGS S.A.
AVH
$1.25M 0.66%
192,368
– –
FMX icon
43
Fomento Económico Mexicano
FMX
$43.3B
$1.11M 0.59%
12,110
+110
+0.9% +$10.1K
BPOP icon
44
Popular Inc
BPOP
$11B
$1.11M 0.59%
29,000
– –
SAVE
45
DELISTED
Spirit Airlines, Inc.
SAVE
$1.11M 0.59%
26,000
– –
ZTR
46
Virtus Total Return Fund
ZTR
$340M
$1.07M 0.57%
88,914
-3,550
-4% -$43.5K
NEE icon
47
NextEra Energy
NEE
$187B
$1.02M 0.54%
33,348
-4,000
-11% -$126K
GGE
48
DELISTED
Guggenheim Enhncd Eqty Strtgy Fd
GGE
$986K 0.53%
61,488
-1,800
-3% -$28.8K
GDV icon
49
Gabelli Dividend & Income Trust
GDV
$2.6B
$939K 0.5%
48,861
-64,693
-57% -$1.27M
AIF
50
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$933K 0.5%
60,320
+9,561
+19% +$143K
1
2
3 4 5

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Thomas J. Herzfeld Advisors's Q3 2016 Portfolio in Review

As of Q3 2016, Thomas J. Herzfeld Advisors held 322 positions worth $188M, down 0.44% from $189M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $11.5M in Q3 2016, closing 28 positions and reducing 88 holdings. Its most notable exit was Tortoise Midstream Energy Fund, Inc. Common Stock, an estimated $973K position sold in full.

By sector, the portfolio is most concentrated in Industrials at 6.1% of assets, up from 5% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B worth $728K.

  • Thomas J. Herzfeld Advisors's largest Q3 2016 buy was Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B: 28,218 shares worth $728K.
  • Thomas J. Herzfeld Advisors added most to COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC. in Q3 2016, an estimated $649K increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2016 reduction was Morgan Stanley China A Share Fund, cutting an estimated $2.02M.
  • Thomas J. Herzfeld Advisors fully exited Tortoise Midstream Energy Fund, Inc. Common Stock in Q3 2016, selling an estimated $973K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 38% of its $188M portfolio in Q3 2016.
  • Thomas J. Herzfeld Advisors opened 15 new positions and closed 28 in Q3 2016.
  • Thomas J. Herzfeld Advisors's portfolio value fell 0.44% quarter-over-quarter to $188M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2016, filed 14 Nov 2016.