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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
+0.25%
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
$271M
AUM Growth
+$8.57M
Cap. Flow
+$9.06M
Cap. Flow %
3.34%
Top 10 Hldgs %
44.42%
Holding
286
New
20
Increased
81
Reduced
70
Closed
29

Top Buys

Rank Stock Value
1
OCCI
OFS Credit Co
OCCI
+$3.59M
2
CLM icon
Cornerstone Strategic Value Fund
CLM
+$2.84M
3
FIF
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
+$2.75M
4
BTZ icon
BlackRock Credit Allocation Income Trust
BTZ
+$2.53M
5
MMT
Aberdeen Multi-Market Income Fund
MMT
+$2.25M

Top Sells

Rank Stock Value
1
SHV icon
iShares 0-1 Year Treasury Bond ETF
SHV
+$7.25M
2
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$1.66M
3
JEQ
abrdn Japan Equity Fund
JEQ
+$1.6M
4
SMM
Salient Midstream & MLP Fund
SMM
+$1.32M
5
TTP
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
+$1.12M

Sector Composition

Rank Sector Weight
1 Financials 9.14%
2 Industrials 4.73%
3 Consumer Discretionary 4.28%
4 Real Estate 1.61%
5 Consumer Staples 1.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NEA icon
126
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.37B
$102K 0.04%
7,136
-37,723
-84% -$535K
TY icon
127
TRI-Continental Corp
TY
$1.86B
$102K 0.04%
3,735
+35
+0.9% +$945
BLW icon
128
BlackRock Limited Duration Income Trust
BLW
$491M
$100K 0.04%
+6,424
New +$98.7K
JEQ
129
DELISTED
abrdn Japan Equity Fund
JEQ
$99K 0.04%
13,569
-226,150
-94% -$1.6M
NXJ
130
DELISTED
Nuveen New Jersey Quality Municipal Income Fund
NXJ
$93K 0.03%
6,456
– –
SONY icon
131
Sony
SONY
$133B
$89K 0.03%
7,505
-55
-0.7% -$621
BMY icon
132
Bristol-Myers Squibb
BMY
$130B
$86K 0.03%
1,700
– –
GDX icon
133
VanEck Gold Miners ETF
GDX
$22.7B
$81K 0.03%
3,039
– –
PCEF icon
134
Invesco CEF Income Composite ETF
PCEF
$795M
$79K 0.03%
3,500
-5,135
-59% -$116K
BFZ
135
DELISTED
BlackRock CA Municipal Income Trust
BFZ
$75K 0.03%
5,503
-2,497
-31% -$33.9K
PFF icon
136
iShares Preferred and Income Securities ETF
PFF
$13.2B
$75K 0.03%
2,000
– –
TAK icon
137
Takeda Pharmaceutical
TAK
$56B
$74K 0.03%
4,279
-117
-3% -$2.02K
KF
138
Korea Fund
KF
$226M
$73K 0.03%
2,671
-74
-3% -$1.99K
LLY icon
139
Eli Lilly
LLY
$1.09T
$67K 0.02%
600
– –
SPY icon
140
State Street SPDR S&P 500 ETF Trust
SPY
$783B
$65K 0.02%
220
– –
EVM
141
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$64K 0.02%
5,615
-3,505
-38% -$39.7K
GDV icon
142
Gabelli Dividend & Income Trust
GDV
$2.62B
$64K 0.02%
2,985
+19
+0.6% +$406
RCI icon
143
Rogers Communications
RCI
$18.8B
$58K 0.02%
1,198
+178
+17% +$9.17K
UNH icon
144
UnitedHealth
UNH
$389B
$56K 0.02%
257
– –
PGP
145
PIMCO Global StockPLUS & Income Fund
PGP
$96.8M
$54K 0.02%
4,657
– –
MDY icon
146
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.9B
$53K 0.02%
150
– –
QQQ icon
147
Invesco QQQ Trust
QQQ
$445B
$51K 0.02%
270
– –
CEE
148
Central and Eastern Europe Fund
CEE
$136M
$47K 0.02%
1,790
-1
-0.1% -$26
SGMO
149
DELISTED
SANGAMO THERAPEUTICS INC
SGMO
$45K 0.02%
5,000
– –
ASML icon
150
ASML
ASML
$608B
$41K 0.02%
164
-107
-39% -$24.1K
4 5
6
7 8

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Thomas J. Herzfeld Advisors's Q3 2019 Portfolio in Review

As of Q3 2019, Thomas J. Herzfeld Advisors held 286 positions worth $271M, up 3.3% from $263M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Thomas J. Herzfeld Advisors deployed $9.06M of net new capital in Q3 2019, opening 20 new positions and adding to 81 existing holdings. Its largest new stake was Aberdeen Multi-Market Income Fund: 383,739 shares worth $2.27M.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, up from 8.2% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was iShares 0-1 Year Treasury Bond ETF, an estimated $7.25M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q3 2019 buy was Aberdeen Multi-Market Income Fund: 383,739 shares worth $2.27M.
  • Thomas J. Herzfeld Advisors added most to OFS Credit Co in Q3 2019, an estimated $3.59M increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2019 reduction was iShares 0-1 Year Treasury Bond ETF, cutting an estimated $7.25M.
  • Thomas J. Herzfeld Advisors fully exited Salient Midstream & MLP Fund in Q3 2019, selling an estimated $1.32M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 44% of its $271M portfolio in Q3 2019.
  • Thomas J. Herzfeld Advisors opened 20 new positions and closed 29 in Q3 2019.
  • Thomas J. Herzfeld Advisors's portfolio value rose 3.3% quarter-over-quarter to $271M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2019, filed 8 Nov 2019.