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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
VMO icon
201
Invesco Municipal Opportunity Trust
VMO
$653M
$70K 0.04%
+6,000
New +$69K
MUA icon
202
BlackRock MuniAssets Fund
MUA
$529M
$69K 0.04%
+6,000
New +$69.9K
NAZ icon
203
Nuveen Arizona Quality Municipal Income Fund
NAZ
$157M
$69K 0.04%
5,700
– –
BLW icon
204
BlackRock Limited Duration Income Trust
BLW
$492M
$67K 0.04%
+3,910
New +$65.7K
BXMX
205
DELISTED
Nuveen S&P 500 Buy-Write Income Fund
BXMX
$67K 0.04%
+5,310
New +$65.8K
DMB
206
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$196M
$66K 0.04%
6,401
+2,600
+68% +$26.8K
JPI
207
DELISTED
Nuveen Preferred Securities & Income Opportunities Fund
JPI
$66K 0.04%
3,000
– –
BTT icon
208
BlackRock Municipal 2030 Target Term Trust
BTT
$1.43B
$64K 0.04%
+3,751
New +$64.9K
GDX icon
209
VanEck Gold Miners ETF
GDX
$23.2B
$63K 0.04%
3,000
– –
APB
210
DELISTED
Asia Pacific Fund
APB
$63K 0.04%
6,000
– –
NXZ
211
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$63K 0.04%
5,000
-2,000
-29% -$25.6K
ERC
212
Allspring Multi-Sector Income Fund
ERC
$254M
$60K 0.03%
+4,300
New +$60.8K
EGX
213
DELISTED
ENGEX INC
EGX
$58K 0.03%
16,472
-100
-0.6% -$352
VCV icon
214
Invesco California Value Municipal Income Trust
VCV
$516M
$57K 0.03%
+5,000
New +$55.6K
MUI
215
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$56K 0.03%
+4,000
New +$54.5K
CCA
216
DELISTED
MFS California Municipal Fund
CCA
$53K 0.03%
5,296
– –
NIO
217
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$53K 0.03%
4,000
-2,000
-33% -$25.7K
PMO
218
Franklin Municipal Opportunities Trust
PMO
$282M
$52K 0.03%
4,800
-9,000
-65% -$97.2K
BAF
219
DELISTED
BLACKROCK MUNICIPAL INCOME INVESTMENT QUALITY TRUST
BAF
$51K 0.03%
4,000
-4,000
-50% -$51.3K
MVCB.CL
220
DELISTED
MVC Capital, Inc.
MVCB.CL
$50K 0.03%
2,000
– –
ASP
221
DELISTED
AMERN STRATEGIC INCOME PORTFOL
ASP
$50K 0.03%
5,600
+3,000
+115% +$28.9K
TWN
222
Taiwan Fund
TWN
$488M
$48K 0.03%
2,471
-388
-14% -$7.29K
SBUX icon
223
Starbucks
SBUX
$118B
$47K 0.03%
1,200
– –
ABE
224
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$47K 0.03%
3,400
– –
DPG
225
Duff & Phelps Utility and Infrastructure Fund
DPG
$539M
$46K 0.03%
2,410
– –
7 8
9
10 11

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BIC
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SM
Selkirk Management Chatham, New Jersey $294M AUM 26.84% 1-Year Est. Return
PCI
Pacifica Capital Investments Leander, Texas $294M AUM 45.89% 1-Year Est. Return
PC
Permit Capital West Conshohocken, Pennsylvania $294M AUM 27.9% 1-Year Est. Return
DMBA
Deseret Mutual Benefit Administrators Salt Lake City, Utah $294M AUM 19.14% 1-Year Est. Return
MFC
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MEPT
Missouri Education Pension Trust Jefferson City, Missouri $294M AUM
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.