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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
CKH
126
DELISTED
Seacor Holdings Inc.
CKH
$119K 0.06%
2,068
– –
ETJ
127
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
$562M
$118K 0.06%
12,500
– –
AMGN icon
128
Amgen
AMGN
$203B
$117K 0.06%
700
– –
TSI
129
TCW Strategic Income Fund
TSI
$213M
$117K 0.06%
22,000
– –
JTD
130
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
$114K 0.06%
7,665
– –
EQS icon
131
Equus Total Return
EQS
$15.2M
$113K 0.06%
60,735
-400
-0.7% -$687
CHW
132
Calamos Global Dynamic Income Fund
CHW
$540M
$111K 0.06%
14,800
– –
GS icon
133
Goldman Sachs
GS
$307B
$111K 0.06%
691
+2
+0.3% +$325
IBM icon
134
IBM
IBM
$204B
$111K 0.06%
730
+6
+0.8% +$911
RTX icon
135
RTX Corp
RTX
$297B
$109K 0.06%
1,708
+6
+0.4% +$398
AKP
136
DELISTED
Alliance Californa Muni Fd
AKP
$108K 0.06%
7,021
-22,024
-76% -$340K
IRL
137
DELISTED
NEW IRELAND FUND INC
IRL
$106K 0.06%
8,688
-581
-6% -$7.1K
CXH
138
DELISTED
MFS Investment Grade Municipal Trust
CXH
$104K 0.06%
10,000
-10,921
-52% -$115K
KMM
139
DELISTED
Deutsche Multi-Market Incm Trust
KMM
$104K 0.06%
12,133
– –
PG icon
140
Procter & Gamble
PG
$347B
$101K 0.05%
1,124
+5
+0.4% +$434
DIS icon
141
Walt Disney
DIS
$168B
$98K 0.05%
1,057
+5
+0.5% +$479
JPM icon
142
JPMorgan Chase
JPM
$945B
$97K 0.05%
1,450
+5
+0.3% +$326
UNH icon
143
UnitedHealth
UNH
$380B
$97K 0.05%
692
+3
+0.4% +$420
XOM icon
144
ExxonMobil
XOM
$642B
$97K 0.05%
1,112
+6
+0.5% +$532
IF
145
DELISTED
Aberdeen Indonesia Fund
IF
$93K 0.05%
14,020
-1,917
-12% -$12.6K
CBA
146
DELISTED
ClearBridge American Energy MLP
CBA
$93K 0.05%
10,362
– –
BA icon
147
Boeing
BA
$168B
$92K 0.05%
697
+6
+0.9% +$790
BMY icon
148
Bristol-Myers Squibb
BMY
$128B
$92K 0.05%
+1,700
New +$109K
WMT icon
149
Walmart Inc
WMT
$888B
$91K 0.05%
3,798
+15
+0.4% +$364
ACP
150
abrdn Income Credit Strategies Fund
ACP
$637M
$89K 0.05%
7,092
-101
-1% -$1.22K
4 5
6
7 8

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PCI
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DMBA
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MFC
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MEPT
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ECM
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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.