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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
+2.36%
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
$175M
AUM Growth
+$20.1M
Cap. Flow
+$8.45M
Cap. Flow %
4.82%
Top 10 Hldgs %
26.97%
Holding
328
New
49
Increased
91
Reduced
74
Closed
31

Top Buys

Rank Stock Value
1
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$2.18M
2
OXLCO
Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023
OXLCO
+$1.29M
3
FSD
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
+$808K
4
DSL
DoubleLine Income Solutions Fund
DSL
+$785K
5
FPF
First Trust Intermediate Duration Preferred & Income Fund
FPF
+$631K

Top Sells

Rank Stock Value
1
PSMT icon
Pricesmart
PSMT
+$1.38M
2
PDI icon
PIMCO Dynamic Income Fund
PDI
+$926K
3
FTT
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
+$581K
4
JGT
NUVEEN DIVERSIFIED CURRENCY OPPORTUNIES FUND(USA)
JGT
+$545K
5
CPA icon
Copa Holdings
CPA
+$480K

Sector Composition

Rank Sector Weight
1 Financials 5.6%
2 Consumer Staples 4.5%
3 Industrials 3.66%
4 Consumer Discretionary 3.13%
5 Materials 1.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MRGO
151
DELISTED
MARGO CARIBE INC
MRGO
$154K 0.09%
64,239
– –
EEA
152
European Equity Fund
EEA
$74.1M
$151K 0.09%
16,906
– –
IRL
153
DELISTED
NEW IRELAND FUND INC
IRL
$149K 0.08%
11,597
– –
CHW
154
Calamos Global Dynamic Income Fund
CHW
$538M
$145K 0.08%
16,194
+250
+2% +$2.2K
AKP
155
DELISTED
Alliance Californa Muni Fd
AKP
$143K 0.08%
11,800
+6,800
+136% +$82.5K
NXG
156
NXG NextGen Infrastructure Income Fund
NXG
$329M
$140K 0.08%
1,398
+497
+55% +$47.5K
NIQ
157
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$138K 0.08%
12,000
+8,000
+200% +$90.9K
NZH
158
DELISTED
Nuveen Calif Div
NZH
$137K 0.08%
12,000
– –
ULTR
159
DELISTED
ULTRAPETROL (BAHAMAS) LTD COM STK
ULTR
$135K 0.08%
36,000
+8,000
+29% +$28.4K
FFA
160
First Trust Enhanced Equity Income Fund
FFA
$449M
$130K 0.07%
9,766
+23
+0.2% +$298
WIA
161
Western Asset Inflation-Linked Income Fund
WIA
$185M
$130K 0.07%
11,395
+25
+0.2% +$288
IIF
162
Morgan Stanley India Investment Fund
IIF
$212M
$128K 0.07%
7,295
-1,893
-21% -$31.8K
ASA
163
ASA Gold and Precious Metals
ASA
$962M
$126K 0.07%
10,307
+2,807
+37% +$36.1K
GAM.PRB
164
General American Investors Co 5.95% Series B Preferred Stock
GAM.PRB
$189M
$124K 0.07%
4,900
-1,100
-18% -$27.9K
GDL
165
GDL Fund
GDL
$91.8M
$121K 0.07%
10,962
– –
MIE
166
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
$120K 0.07%
+6,571
New +$113K
NQU
167
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$119K 0.07%
9,725
-10,575
-52% -$130K
NQS
168
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$114K 0.07%
9,200
-11,100
-55% -$137K
HTD
169
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$918M
$110K 0.06%
6,043
+17
+0.3% +$301
BWG
170
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$129M
$107K 0.06%
6,314
– –
CEF icon
171
Sprott Physical Gold and Silver Trust
CEF
$7.49B
$106K 0.06%
8,000
– –
CHN
172
DELISTED
China Fund
CHN
$104K 0.06%
5,000
-1,000
-17% -$22.5K
NTC
173
DELISTED
Nuveen Connecticut Quality Municipal Income Fund
NTC
$102K 0.06%
8,808
-7,325
-45% -$85.7K
IRR
174
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$101K 0.06%
10,250
– –
ETUA
175
DELISTED
EUNITS 2 YR U S EQUITY MKT UIT (MA)
ETUA
$101K 0.06%
8,601
-2,900
-25% -$33.5K
5 6
7
8 9

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SM
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PCI
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PC
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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 Q4 2013 Portfolio in Review

As of Q4 2013, Thomas J. Herzfeld Advisors held 328 positions worth $175M, up 13% from $155M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Thomas J. Herzfeld Advisors deployed $8.45M of net new capital in Q4 2013, opening 49 new positions and adding to 91 existing holdings. Its largest new stake was PIMCO Dynamic Credit and Mortgage Income Fund: 98,305 shares worth $2.21M.

By sector, the portfolio is most concentrated in Financials at 5.6% of assets, down from 5.9% a quarter earlier, followed by Consumer Staples and Industrials.

On the sell side, the largest reduction was Pricesmart, an estimated $1.38M trimmed.

  • Thomas J. Herzfeld Advisors's largest Q4 2013 buy was PIMCO Dynamic Credit and Mortgage Income Fund: 98,305 shares worth $2.21M.
  • Thomas J. Herzfeld Advisors added most to Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023 in Q4 2013, an estimated $1.29M increase.
  • Thomas J. Herzfeld Advisors's biggest Q4 2013 reduction was Pricesmart, cutting an estimated $1.38M.
  • Thomas J. Herzfeld Advisors fully exited Allianzgi Intl & Prem Strategy Fnd Com Shs Of Bene Int in Q4 2013, selling an estimated $176K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 27% of its $175M portfolio in Q4 2013.
  • Thomas J. Herzfeld Advisors opened 49 new positions and closed 31 in Q4 2013.
  • Thomas J. Herzfeld Advisors's portfolio value rose 13% quarter-over-quarter to $175M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q4 2013, filed 13 Feb 2014.