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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
-0.34%
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
$193M
AUM Growth
-$55.8M
Cap. Flow
-$51.9M
Cap. Flow %
-26.87%
Top 10 Hldgs %
32.22%
Holding
371
New
47
Increased
61
Reduced
94
Closed
39

Top Buys

Rank Stock Value
1
THQ
abrdn Healthcare Opportunities Fund
THQ
+$416K
2
THW
abrdn World Healthcare Fund
THW
+$410K
3
DCA
Virtus Total Return Fund
DCA
+$396K
4
RCL icon
Royal Caribbean
RCL
+$359K
5
TTP
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
+$348K

Top Sells

Rank Stock Value
1
OXLCO
Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023
OXLCO
+$19.4M
2
OXLCN
Oxford Lane Capital Corp. 8.125% Series 2024 Term Preferred Stock
OXLCN
+$12.2M
3
SOR
Source Capital
SOR
+$7.92M
4
MVCB.CL
MVC Capital, Inc.
MVCB.CL
+$3.95M
5
PCEF icon
Invesco CEF Income Composite ETF
PCEF
+$2.36M

Sector Composition

Rank Sector Weight
1 Financials 5.64%
2 Consumer Discretionary 5.24%
3 Industrials 4.96%
4 Consumer Staples 2.29%
5 Utilities 1.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CELG
176
DELISTED
Celgene Corp
CELG
$80K 0.04%
800
– –
ACP
177
abrdn Income Credit Strategies Fund
ACP
$641M
$79K 0.04%
7,414
-1,422
-16% -$14.3K
CEV
178
Eaton Vance California Municipal Income Trust
CEV
$71.3M
$78K 0.04%
5,427
-11,155
-67% -$154K
XIV
179
DELISTED
VelocityShares Daily Inverse VIX Short Term ETN
XIV
$78K 0.04%
3,000
– –
NRK icon
180
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$904M
$77K 0.04%
+5,700
New +$75.1K
CBA
181
DELISTED
ClearBridge American Energy MLP
CBA
$77K 0.04%
10,992
-1,260
-10% -$8.01K
BOI
182
DELISTED
Brookfield Mtge Opportunity Fd
BOI
$73K 0.04%
5,001
– –
EMO
183
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.03B
$71K 0.04%
1,261
– –
NIQ
184
DELISTED
NUVEEN INTERMEDIATE DURATION QUALITY MUNICIPAL TERM FUND
NIQ
$69K 0.04%
+5,100
New +$67.7K
VKQ icon
185
Invesco Municipal Trust
VKQ
$540M
$67K 0.03%
+5,000
New +$65.1K
JCE icon
186
Nuveen Core Equity Alpha Fund
JCE
$280M
$63K 0.03%
4,616
-1,561
-25% -$20.6K
WIA
187
Western Asset Inflation-Linked Income Fund
WIA
$185M
$61K 0.03%
5,317
-23
-0.4% -$246
GDX icon
188
VanEck Gold Miners ETF
GDX
$23.2B
$60K 0.03%
3,000
– –
CHN
189
DELISTED
China Fund
CHN
$59K 0.03%
4,000
-1,000
-20% -$13.8K
JDD
190
DELISTED
Nuveen Diversified Dividend and Income Fund
JDD
$59K 0.03%
5,406
-2,180
-29% -$22.3K
ABE
191
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$58K 0.03%
4,964
– –
WIW
192
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
$507M
$55K 0.03%
5,000
– –
GER
193
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$55K 0.03%
1,111
– –
DSE
194
DELISTED
Duff & Phelps Select MLP and Midstream Energy Fund Inc.
DSE
$54K 0.03%
1,000
– –
GE icon
195
GE Aerospace
GE
$375B
$53K 0.03%
+349
New +$49.3K
SPG icon
196
Simon Property Group
SPG
$75.1B
$53K 0.03%
+253
New +$48.6K
VOD icon
197
Vodafone
VOD
$36.4B
$52K 0.03%
1,619
+166
+11% +$5.17K
ING icon
198
ING
ING
$95.7B
$51K 0.03%
4,247
+724
+21% +$8.69K
AZN icon
199
AstraZeneca
AZN
$263B
$50K 0.03%
880
-107
-11% -$6.43K
TMO icon
200
Thermo Fisher Scientific
TMO
$208B
$49K 0.03%
+347
New +$46.5K
6 7
8
9 10

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DMBA
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MFC
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MEPT
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Thomas J. Herzfeld Advisors's Q1 2016 Portfolio in Review

As of Q1 2016, Thomas J. Herzfeld Advisors held 371 positions worth $193M, down 22% from $249M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $51.9M in Q1 2016, closing 39 positions and reducing 94 holdings. Its most notable exit was Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023, an estimated $19.4M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.6% of assets, up from 4.3% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in Eaton Vance Municipal Income 2028 Term Trust worth $102K.

  • Thomas J. Herzfeld Advisors's largest Q1 2016 buy was Eaton Vance Municipal Income 2028 Term Trust: 5,186 shares worth $102K.
  • Thomas J. Herzfeld Advisors added most to abrdn Healthcare Opportunities Fund in Q1 2016, an estimated $416K increase.
  • Thomas J. Herzfeld Advisors's biggest Q1 2016 reduction was Source Capital, cutting an estimated $7.92M.
  • Thomas J. Herzfeld Advisors fully exited Oxford Lane Capital Corp. Term Preferred Shares, 7.50% Series 2023 in Q1 2016, selling an estimated $19.4M.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 32% of its $193M portfolio in Q1 2016.
  • Thomas J. Herzfeld Advisors opened 47 new positions and closed 39 in Q1 2016.
  • Thomas J. Herzfeld Advisors's portfolio value fell 22% quarter-over-quarter to $193M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q1 2016, filed 13 May 2016.