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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
-0.86%
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
$226M
AUM Growth
-$13.3M
Cap. Flow
-$11M
Cap. Flow %
-4.85%
Top 10 Hldgs %
42.69%
Holding
388
New
33
Increased
62
Reduced
55
Closed
39

Top Buys

Rank Stock Value
1
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$5.84M
2
IBMJ
iShares iBonds Dec 2021 Term Muni Bond ETF
IBMJ
+$2.01M
3
FUMB icon
First Trust Ultra Short Duration Municipal ETF
FUMB
+$1.59M
4
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$1.14M
5
JMST icon
JPMorgan Ultra-Short Municipal Income ETF
JMST
+$1.09M

Top Sells

Rank Stock Value
1
EVV
Eaton Vance Limited Duration Income Fund
EVV
+$4.2M
2
FAX
abrdn Asia-Pacific Income Fund
FAX
+$3.32M
3
ISD
PGIM High Yield Bond Fund
ISD
+$2.96M
4
AVK
Advent Convertible and Income Fund
AVK
+$2.84M
5
GHY
PGIM Global High Yield Fund
GHY
+$2.48M

Sector Composition

Rank Sector Weight
1 Financials 8.21%
2 Industrials 5.17%
3 Consumer Discretionary 2.67%
4 Materials 1.77%
5 Utilities 1.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JPC icon
151
Nuveen Preferred & Income Opportunities Fund
JPC
$2.88B
$28K 0.01%
2,790
– –
AVGO icon
152
Broadcom
AVGO
$1.76T
$26K 0.01%
530
– –
FINS
153
Angel Oak Financial Strategies Income Term Trust
FINS
$416M
$26K 0.01%
+1,556
New +$28.1K
META icon
154
Meta Platforms (Facebook)
META
$1.49T
$26K 0.01%
76
– –
GOOG icon
155
Alphabet (Google) Class C
GOOG
$4.11T
$24K 0.01%
180
+20
+13% +$2.76K
HD icon
156
Home Depot
HD
$337B
$21K 0.01%
63
-7
-10% -$2.3K
FTCH
157
DELISTED
Farfetch Limited Class A Ordinary Shares
FTCH
$21K 0.01%
+547
New +$24.2K
BLK icon
158
Blackrock
BLK
$167B
$20K 0.01%
24
– –
TXN icon
159
Texas Instruments
TXN
$248B
$19K 0.01%
100
– –
BDJ icon
160
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$18K 0.01%
1,831
+26
+1% +$262
DCBO
161
Docebo
DCBO
$559M
$17K 0.01%
+228
New +$16.8K
INCY icon
162
Incyte
INCY
$25.8B
$17K 0.01%
242
– –
PCTTW
163
PureCycle Technologies Inc Warrant
PCTTW
$9.5M
$17K 0.01%
3,331
– –
ABNB icon
164
Airbnb
ABNB
$90.8B
$16K 0.01%
98
– –
FINS.RT
165
DELISTED
Angel Oak Financial Strategies Income Term Trust Rights (expires October 14, 2021)
FINS.RT
$16K 0.01%
+73,420
New +$17.9K
ZTR
166
Virtus Total Return Fund
ZTR
$337M
$15K 0.01%
1,661
+40
+2% +$386
LICY.WS
167
DELISTED
Li-Cycle Holdings Corp. Redeemable Warrants, each whole warrant exercisable for one Common Share at
LICY.WS
$15K 0.01%
+6,044
New +$11.1K
GF
168
New Germany Fund
GF
$182M
$13K 0.01%
678
– –
HON icon
169
Honeywell
HON
$76.4B
$13K 0.01%
64
– –
NFLX icon
170
Netflix
NFLX
$307B
$13K 0.01%
220
– –
PEP icon
171
PepsiCo
PEP
$196B
$13K 0.01%
89
– –
TFC icon
172
Truist Financial
TFC
$63.9B
$13K 0.01%
221
– –
GENI.WS
173
DELISTED
Genius Sports Limited Redeemable Warrants, each whole warrant exercisable for one Ordinary Share each at an exercise price of $11. 50 per share
GENI.WS
$13K 0.01%
1,869
-603
-24% -$4.43K
MOTV.WS
174
DELISTED
Motive Capital Corp Warrants, each whole warrant exercisable for one Class A ordinary share at an ex
MOTV.WS
$13K 0.01%
+10,000
New +$9.69K
MTTRW
175
DELISTED
Matterport, Inc. Warrant
MTTRW
$13K 0.01%
1,640
– –
5 6
7
8 9

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Thomas J. Herzfeld Advisors's Q3 2021 Portfolio in Review

As of Q3 2021, Thomas J. Herzfeld Advisors held 388 positions worth $226M, down 5.5% from $240M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $11M in Q3 2021, closing 39 positions and reducing 55 holdings. Its most notable exit was Seven Hills Realty Trust, an estimated $2.23M position sold in full.

By sector, the portfolio is most concentrated in Financials at 8.2% of assets, up from 7.4% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in iShares iBonds Dec 2021 Term Muni Bond ETF worth $2.01M.

  • Thomas J. Herzfeld Advisors's largest Q3 2021 buy was iShares iBonds Dec 2021 Term Muni Bond ETF: 78,690 shares worth $2.01M.
  • Thomas J. Herzfeld Advisors added most to iShares 1-3 Year Treasury Bond ETF in Q3 2021, an estimated $5.84M increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2021 reduction was Eaton Vance Limited Duration Income Fund, cutting an estimated $4.2M.
  • Thomas J. Herzfeld Advisors fully exited Seven Hills Realty Trust in Q3 2021, selling an estimated $2.23M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 43% of its $226M portfolio in Q3 2021.
  • Thomas J. Herzfeld Advisors opened 33 new positions and closed 39 in Q3 2021.
  • Thomas J. Herzfeld Advisors's portfolio value fell 5.5% quarter-over-quarter to $226M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2021, filed 12 Nov 2021.