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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
VTOL icon
176
Bristow Group
VTOL
$1.37B
$99K 0.06%
1,608
– –
JPW
177
DELISTED
Nuveen Flexible Invstment Fd
JPW
$99K 0.06%
6,001
– –
DDF
178
DELISTED
Delaware Investments Dividend & Income Fund, Inc.
DDF
$98K 0.06%
10,476
-3,370
-24% -$31.1K
BME icon
179
BlackRock Health Sciences Trust
BME
$558M
$95K 0.05%
+2,690
New +$90.5K
DFP
180
Flaherty & Crumrine Dynamic Preferred and Income Fund
DFP
$427M
$95K 0.05%
+4,631
New +$94.3K
MIY icon
181
BlackRock MuniYield Michigan Quality Fund
MIY
$354M
$93K 0.05%
7,450
-3,750
-33% -$46.6K
MSP
182
DELISTED
Madison Strategic Sector
MSP
$93K 0.05%
7,785
– –
TKF
183
DELISTED
Turkish Inv Fund
TKF
$91K 0.05%
6,206
-1,607
-21% -$25.2K
NEA icon
184
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.35B
$90K 0.05%
7,500
-2,500
-25% -$30.3K
AIF
185
DELISTED
Apollo Tactical Income Fund Inc.
AIF
$90K 0.05%
+5,001
New +$86.4K
BUI icon
186
BlackRock Utilities, Infrastructure & Power Opportunities Trust
BUI
$736M
$89K 0.05%
+5,000
New +$88.5K
CEV
187
Eaton Vance California Municipal Income Trust
CEV
$71.7M
$88K 0.05%
+7,853
New +$89K
EOD
188
Allspring Global Dividend Opportunity Fund
EOD
$276M
$87K 0.05%
+12,002
New +$88.8K
SPXX icon
189
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$333M
$85K 0.05%
6,001
– –
TTP
190
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
$85K 0.05%
+750
New +$83.9K
NQI
191
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$85K 0.05%
7,000
+4,000
+133% +$48K
ARMF
192
DELISTED
ARES MULTI-STRATEGY CR FD INC COM STK (MD)
ARMF
$85K 0.05%
+4,001
New +$86.9K
EVM
193
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$84K 0.05%
8,209
+1,460
+22% +$14.9K
EVV
194
Eaton Vance Limited Duration Income Fund
EVV
$1.05B
$83K 0.05%
+5,440
New +$81.9K
BOI
195
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$83K 0.05%
+5,001
New +$82.7K
TIP icon
196
iShares TIPS Bond ETF
TIP
$14.5B
$82K 0.05%
750
– –
NXM
197
DELISTED
NUVEEN PENNSYLVANIA DIV ADV
NXM
$79K 0.05%
6,500
+5,000
+333% +$60.6K
FDI
198
DELISTED
FORT DEARBORN INCOME SECS
FDI
$75K 0.04%
+5,400
New +$76K
NUM
199
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
$74K 0.04%
5,918
+1,000
+20% +$12.6K
SOR
200
Source Capital
SOR
$371M
$70K 0.04%
1,036
+3
+0.3% +$192
6 7
8
9 10

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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.