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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
-0.62%
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
$259M
AUM Growth
+$7.83M
Cap. Flow
+$14.2M
Cap. Flow %
5.47%
Top 10 Hldgs %
47.55%
Holding
343
New
12
Increased
68
Reduced
58
Closed
7

Top Buys

Rank Stock Value
1
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$6.49M
2
PDX
PIMCO Dynamic Income Strategy Fund
PDX
+$5.24M
3
JFR icon
Nuveen Floating Rate Income Fund
JFR
+$4.85M
4
OCCI
OFS Credit Co
OCCI
+$3.17M
5
QID icon
ProShares UltraShort QQQ
QID
+$3.15M

Top Sells

Rank Stock Value
1
OXLC
Oxford Lane Capital
OXLC
+$6.45M
2
BRW
Saba Capital Income & Opportunities Fund
BRW
+$5.21M
3
JSD
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND
JSD
+$4.06M
4
EDD
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
+$3.73M
5
GRX
Gabelli Healthcare & Wellness Trust
GRX
+$2.56M

Sector Composition

Rank Sector Weight
1 Financials 17.7%
2 Consumer Discretionary 2.68%
3 Industrials 2.62%
4 Materials 1.44%
5 Energy 1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NVS icon
101
Novartis
NVS
$302B
$116K 0.04%
1,200
– –
TEAF
102
DELISTED
Ecofin Sustainable & Social Impact Term Fund
TEAF
$114K 0.04%
9,510
+1,430
+18% +$18K
ENX
103
DELISTED
Eaton Vance New York Municipal Bond Fund
ENX
$113K 0.04%
13,616
+1,973
+17% +$18.2K
ABBV icon
104
AbbVie
ABBV
$465B
$108K 0.04%
722
– –
SABA
105
Saba Capital Income & Opportunities Fund II
SABA
$220M
$102K 0.04%
+13,265
New +$109K
USO icon
106
United States Oil Fund
USO
$2.15B
$101K 0.04%
1,250
– –
BMY icon
107
Bristol-Myers Squibb
BMY
$129B
$98.7K 0.04%
1,700
– –
QQQ icon
108
Invesco QQQ Trust
QQQ
$436B
$96.7K 0.04%
270
– –
SONY icon
109
Sony
SONY
$137B
$96K 0.04%
5,825
+380
+7% +$6.63K
NVO
110
Novo Nordisk
NVO
$228B
$85.8K 0.03%
944
+126
+15% +$11.1K
GDX icon
111
VanEck Gold Miners ETF
GDX
$22.5B
$85.5K 0.03%
3,179
-1
-0% -$29
TMO icon
112
Thermo Fisher Scientific
TMO
$214B
$83K 0.03%
164
– –
TWN
113
Taiwan Fund
TWN
$446M
$76.4K 0.03%
2,547
+160
+7% +$5.03K
ASML icon
114
ASML
ASML
$596B
$70.1K 0.03%
119
– –
MDY icon
115
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.4B
$68.5K 0.03%
150
– –
ASA
116
ASA Gold and Precious Metals
ASA
$924M
$67.2K 0.03%
5,044
-1
-0% -$15
SU icon
117
Suncor Energy
SU
$77.7B
$65.6K 0.03%
1,909
+116
+6% +$3.72K
TAK icon
118
Takeda Pharmaceutical
TAK
$56.7B
$61.9K 0.02%
4,000
– –
QQQX icon
119
Nuveen NASDAQ 100 Dynamic Overwrite Fund
QQQX
$1.41B
$51.5K 0.02%
2,294
+39
+2% +$921
JCE icon
120
Nuveen Core Equity Alpha Fund
JCE
$273M
$49.8K 0.02%
4,005
+98
+3% +$1.25K
CNI icon
121
Canadian National Railway
CNI
$78.5B
$49.5K 0.02%
457
+19
+4% +$2.18K
UBS icon
122
UBS Group
UBS
$170B
$49.3K 0.02%
2,000
– –
WIW
123
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$506M
$48.6K 0.02%
5,907
+79
+1% +$691
SNN icon
124
Smith & Nephew
SNN
$13.7B
$48.4K 0.02%
1,953
+115
+6% +$3.23K
RVT icon
125
Royce Value Trust
RVT
$2.19B
$47.7K 0.02%
3,707
+71
+2% +$972
3 4
5
6 7

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Thomas J. Herzfeld Advisors's Q3 2023 Portfolio in Review

As of Q3 2023, Thomas J. Herzfeld Advisors held 343 positions worth $259M, up 3.1% from $251M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Thomas J. Herzfeld Advisors deployed $14.2M of net new capital in Q3 2023, opening 12 new positions and adding to 68 existing holdings. Its largest new stake was iShares 20+ Year Treasury Bond ETF: 67,500 shares worth $5.99M.

By sector, the portfolio is most concentrated in Financials at 18% of assets, up from 17% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Oxford Lane Capital, an estimated $6.45M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q3 2023 buy was iShares 20+ Year Treasury Bond ETF: 67,500 shares worth $5.99M.
  • Thomas J. Herzfeld Advisors added most to PIMCO Dynamic Income Strategy Fund in Q3 2023, an estimated $5.24M increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2023 reduction was Oxford Lane Capital, cutting an estimated $6.45M.
  • Thomas J. Herzfeld Advisors fully exited NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND in Q3 2023, selling an estimated $4.06M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 48% of its $259M portfolio in Q3 2023.
  • Thomas J. Herzfeld Advisors opened 12 new positions and closed 7 in Q3 2023.
  • Thomas J. Herzfeld Advisors's portfolio value rose 3.1% quarter-over-quarter to $259M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2023, filed 13 Nov 2023.