THOMAS J. HERZFELD ADVISORS, INC.

HTTP://WWW.HERZFELD.COM MIAMI BEACH, FL Investment Advisor How do I update this listing?

Thomas J. Herzfeld Advisors is based out of Miami Beach. Thomas J. Herzfeld Advisors is a large advisory firm with 291 clients and discretionary assets under management (AUM) of $299,240,586 (Form ADV from 2019-04-01). Their last reported 13F filing for Q3 2019 included $271,110,000 in managed 13F securities and a top 10 holdings concentration of 44.42%. Thomas J. Herzfeld Advisors's largest holding is NexPoint Strategic Opportunities Fund with shares held of 1,380,452. Thomas J. Herzfeld Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 36 13F filings, 2 13D filings, and 13 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $271.11 Million
  • Prior Market Value $262.539 Million
  • New Purchases20 stocks
  • Additional Purchases81 stocks
  • Sold out of29 stocks
  • Reduced holdings in70 stocks
  • Top 10 Holdings % 44.42 %
  • Turnover % [1]:19.07%
  • Turnover Alt % [2]: 13.09 %
  • Time Held Top20:6.55 quarters
  • Time Held Top10:5.50 quarters
  • Time Held All:13.40 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.7%
Performance Last 4 Quarters: 12.13%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Virtus Investment Advisers, Inc.

View Last Form Adv Compilation Report on Record

THOMAS J. HERZFELD ADVISORS, INC.
119 WASHINGTON AVENUE SUITE 504
MIAMI BEACH FL    33139
Country: United States

Business Phone: 305-777-1660
Fax: 305-270-1040
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: FL
Number of employees: 9
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,CONSULTING FEES
Amount of client funds and securities:
Total Number of Clients: 291
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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THOMAS J. HERZFELD ADVISORS, INC.

ownership team - last updated 2019-04-01
Name Title Start Date Direct/Indirect % Ownership
HERZFELD, THOMAS, JAY CHAIRMAN AND SOLE DIRECTOR 02/01/1984 Direct 75% or more
Fund Name Position direct/indirect start date end date
THOMAS J. HERZFELD ADVISORS, INC. CHAIRMAN AND SOLE DIRECTOR direct 1984-02-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1984-02-01 2012-06-18
HERZFELD THOMAS J ADVISORS INC PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR direct 1984-02-01 2015-03-31
HERZFELD, ERIK, MERVIN PRESIDENT, SECRETARY, TREASURER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HERZFELD THOMAS J ADVISORS INC HEAD OF ALTERNATIVE STRATEGIES direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT, SECRETARY, TREASURER direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. MANAGING DIRECTOR direct 2008-10-01
MORGAN, THOMAS, KENNETH CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RR ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
FIRST PACIFIC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
GLOVISTA INVESTMENTS LLC ELECTED MANAGER; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2014-01-01
GLOVISTA INVESTMENTS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2014-01-01
TREMONT REALTY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
TREMONT REALTY MANAGEMENT, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-08-01

THOMAS J. HERZFELD ADVISORS, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
HERZFELD, THOMAS, JAY CHAIRMAN AND SOLE DIRECTOR 02/01/1984 Direct 75% or more
Fund Name Position direct/indirect start date end date
THOMAS J. HERZFELD ADVISORS, INC. CHAIRMAN AND SOLE DIRECTOR direct 1984-02-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1984-02-01 2012-06-18
HERZFELD THOMAS J ADVISORS INC PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR direct 1984-02-01 2015-03-31
HERZFELD, ERIK, MERVIN PRESIDENT, SECRETARY, TREASURER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HERZFELD THOMAS J ADVISORS INC HEAD OF ALTERNATIVE STRATEGIES direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT, SECRETARY, TREASURER direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. MANAGING DIRECTOR direct 2008-10-01
MORGAN, THOMAS, KENNETH CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RR ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
FIRST PACIFIC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
GLOVISTA INVESTMENTS LLC ELECTED MANAGER; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2014-01-01
GLOVISTA INVESTMENTS LLC CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2014-01-01
TREMONT REALTY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-08-01
TREMONT REALTY MANAGEMENT, LLC ELECTED MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-08-01

THOMAS J. HERZFELD ADVISORS, INC.

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
HERZFELD, THOMAS, JAY CHAIRMAN AND SOLE DIRECTOR 02/01/1984 Direct 75% or more
Fund Name Position direct/indirect start date end date
THOMAS J. HERZFELD ADVISORS, INC. CHAIRMAN AND SOLE DIRECTOR direct 1984-02-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR/CHIEF COMPLIANCE OFFICER direct 1984-02-01 2012-06-18
HERZFELD THOMAS J ADVISORS INC PRESIDENT/SECRETARY/TREASURER/SOLE DIRECTOR direct 1984-02-01 2015-03-31
HERZFELD, ERIK, MERVIN PRESIDENT, SECRETARY, TREASURER 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HERZFELD THOMAS J ADVISORS INC HEAD OF ALTERNATIVE STRATEGIES direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. PRESIDENT, SECRETARY, TREASURER direct 2008-10-01
THOMAS J. HERZFELD ADVISORS, INC. MANAGING DIRECTOR direct 2008-10-01
LEE, REANNA, JANE MORAN CHIEF COMPLIANCE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMAS J. HERZFELD ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2012-12-01

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