Filed: 11/13/2023ACC: 0001398344-23-020548
📋 What this filing means
THOMAS J. HERZFELD ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 336 equity positions with a total reported market value of $258.90M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
336
Positions
$258.90M
Total AUM (reported)
24.81M
Total Shares
Allocation by class
COM$148.81M57.5%
SHS BEN INT$35.47M13.7%
COM SHS BEN INT$20.51M7.9%
SHS$6.14M2.4%
20 YR TR BD ETF$5.99M2.3%
CL A$5.58M2.2%
COM NEW$4.04M1.6%
Portfolio Concentration
Top 3$69.95M27.0%
4–10$53.14M20.5%
11–25$55.18M21.3%
Rest$80.62M31.1%
Top 3 weight
27.0%
Top 10 weight
47.5%
Voting Authority Distribution
Total shares with voting rights: 24.81M
Sole
Full voting authority
24.81M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole336
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings336
Rows:
FS Credit Opportunities Corp
SOLEShares4.86M
TypeSH
Market value$26.35M
10.18%
Sole
4.86M
Shared
0.00
None
0.00
Highland Floating Rate Opportunities Fund
SOLEShares2.87M
TypeSH
Market value$23.09M
8.92%
Sole
2.87M
Shared
0.00
None
0.00
PIMCO Enrgy Tactical Cr Opp
SOLEShares1.03M
TypeSH
Market value$20.51M
7.92%
Sole
1.03M
Shared
0.00
None
0.00
Saba Capital Income & Opportunities Fund
SOLEShares1.43M
TypeSH
Market value$10.95M
4.23%
Sole
1.43M
Shared
0.00
None
0.00
Nexpoint Diversified Rel Et
SOLEShares1.18M
TypeSH
Market value$10.27M
3.97%
Sole
1.18M
Shared
0.00
None
0.00
Nuveen Pfd Securities Income Fund
SOLEShares1.22M
TypeSH
Market value$7.55M
2.92%
Sole
1.22M
Shared
0.00
None
0.00
Carlyle Credit Income Fund
SOLEShares783.48K
TypeSH
Market value$6.41M
2.48%
Sole
783.48K
Shared
0.00
None
0.00
OFS Credit Company Inc
SOLEShares881.22K
TypeSH
Market value$6.25M
2.41%
Sole
881.22K
Shared
0.00
None
0.00
iShares Tr
SOLEShares67.50K
TypeSH
Market value$5.99M
2.31%
Sole
67.50K
Shared
0.00
None
0.00
SRH Total Return Fund Inc
SOLEShares440.61K
TypeSH
Market value$5.72M
2.21%
Sole
440.61K
Shared
0.00
None
0.00
Nuveen Floating Rate Income
SOLEShares601.43K
TypeSH
Market value$4.94M
1.91%
Sole
601.43K
Shared
0.00
None
0.00
Franklin Limited Duration Income Trust
SOLEShares808.63K
TypeSH
Market value$4.92M
1.90%
Sole
808.63K
Shared
0.00
None
0.00
Destra Multi-Alternative Fd
SOLEShares806.10K
TypeSH
Market value$4.82M
1.86%
Sole
806.10K
Shared
0.00
None
0.00
Tortoise Energy Independence
SOLEShares132.17K
TypeSH
Market value$4.19M
1.62%
Sole
132.17K
Shared
0.00
None
0.00
Clearbridge MLP And Midstrm
SOLEShares110.04K
TypeSH
Market value$3.88M
1.50%
Sole
110.04K
Shared
0.00
None
0.00
Western Asset Mortgage Opp Fund Inc.
SOLEShares356.34K
TypeSH
Market value$3.82M
1.47%
Sole
356.34K
Shared
0.00
None
0.00
Thornburg Incm Builder Opp Tr
SOLEShares253.43K
TypeSH
Market value$3.70M
1.43%
Sole
253.43K
Shared
0.00
None
0.00
ProShares TR
SOLEShares238.75K
TypeSH
Market value$3.34M
1.29%
Sole
238.75K
Shared
0.00
None
0.00
Central Securities Corp
SOLEShares93.59K
TypeSH
Market value$3.32M
1.28%
Sole
93.59K
Shared
0.00
None
0.00
SPDR Ser Tr
SOLEShares35.67K
TypeSH
Market value$3.28M
1.27%
Sole
35.67K
Shared
0.00
None
0.00
General American Investors Co Inc
SOLEShares78.94K
TypeSH
Market value$3.25M
1.25%
Sole
78.94K
Shared
0.00
None
0.00
Wisdomtree Tr
SOLEShares61.49K
TypeSH
Market value$3.09M
1.20%
Sole
61.49K
Shared
0.00
None
0.00
Nuveen Mortgage and Income Fund
SOLEShares190.72K
TypeSH
Market value$3.03M
1.17%
Sole
190.72K
Shared
0.00
None
0.00
Aberdeen Std Global Infrastructure
SOLEShares175.75K
TypeSH
Market value$2.83M
1.09%
Sole
175.75K
Shared
0.00
None
0.00
Tortoise Pwr & Energy Infras
SOLEShares208.47K
TypeSH
Market value$2.79M
1.08%
Sole
208.47K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
FS Credit Opportunities CorpSOLE | COM | 4.86M | SH | $26.35M 10.18% | 4.86M | 0.00 | 0.00 |
Highland Floating Rate Opportunities FundSOLE | SHS BEN INT | 2.87M | SH | $23.09M 8.92% | 2.87M | 0.00 | 0.00 |
PIMCO Enrgy Tactical Cr OppSOLE | COM SHS BEN INT | 1.03M | SH | $20.51M 7.92% | 1.03M | 0.00 | 0.00 |
Saba Capital Income & Opportunities FundSOLE | COM | 1.43M | SH | $10.95M 4.23% | 1.43M | 0.00 | 0.00 |
Nexpoint Diversified Rel EtSOLE | COM | 1.18M | SH | $10.27M 3.97% | 1.18M | 0.00 | 0.00 |
Nuveen Pfd Securities Income FundSOLE | COM | 1.22M | SH | $7.55M 2.92% | 1.22M | 0.00 | 0.00 |
Carlyle Credit Income FundSOLE | SHS BEN INT | 783.48K | SH | $6.41M 2.48% | 783.48K | 0.00 | 0.00 |
OFS Credit Company IncSOLE | COM | 881.22K | SH | $6.25M 2.41% | 881.22K | 0.00 | 0.00 |
iShares TrSOLE | 20 YR TR BD ETF | 67.50K | SH | $5.99M 2.31% | 67.50K | 0.00 | 0.00 |
SRH Total Return Fund IncSOLE | COM | 440.61K | SH | $5.72M 2.21% | 440.61K | 0.00 | 0.00 |
Nuveen Floating Rate IncomeSOLE | COM | 601.43K | SH | $4.94M 1.91% | 601.43K | 0.00 | 0.00 |
Franklin Limited Duration Income TrustSOLE | COM | 808.63K | SH | $4.92M 1.90% | 808.63K | 0.00 | 0.00 |
Destra Multi-Alternative FdSOLE | COM | 806.10K | SH | $4.82M 1.86% | 806.10K | 0.00 | 0.00 |
Tortoise Energy IndependenceSOLE | COM | 132.17K | SH | $4.19M 1.62% | 132.17K | 0.00 | 0.00 |
Clearbridge MLP And MidstrmSOLE | COM | 110.04K | SH | $3.88M 1.50% | 110.04K | 0.00 | 0.00 |
Western Asset Mortgage Opp Fund Inc.SOLE | COM | 356.34K | SH | $3.82M 1.47% | 356.34K | 0.00 | 0.00 |
Thornburg Incm Builder Opp TrSOLE | COM | 253.43K | SH | $3.70M 1.43% | 253.43K | 0.00 | 0.00 |
ProShares TRSOLE | Ultrapro Sht QQQ | 238.75K | SH | $3.34M 1.29% | 238.75K | 0.00 | 0.00 |
Central Securities CorpSOLE | COM | 93.59K | SH | $3.32M 1.28% | 93.59K | 0.00 | 0.00 |
SPDR Ser TrSOLE | SPDR BLOOMBERG | 35.67K | SH | $3.28M 1.27% | 35.67K | 0.00 | 0.00 |
General American Investors Co IncSOLE | COM | 78.94K | SH | $3.25M 1.25% | 78.94K | 0.00 | 0.00 |
Wisdomtree TrSOLE | Floating Rat Trea | 61.49K | SH | $3.09M 1.20% | 61.49K | 0.00 | 0.00 |
Nuveen Mortgage and Income FundSOLE | COM | 190.72K | SH | $3.03M 1.17% | 190.72K | 0.00 | 0.00 |
Aberdeen Std Global InfrastructureSOLE | SHS BEN INT | 175.75K | SH | $2.83M 1.09% | 175.75K | 0.00 | 0.00 |
Tortoise Pwr & Energy InfrasSOLE | COM | 208.47K | SH | $2.79M 1.08% | 208.47K | 0.00 | 0.00 |
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