President

0001398344-19-019455.txt : 20191108 0001398344-19-019455.hdr.sgml : 20191108 20191108161113 ACCESSION NUMBER: 0001398344-19-019455 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191108 DATE AS OF CHANGE: 20191108 EFFECTIVENESS DATE: 20191108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Thomas J. Herzfeld Advisors, Inc. CENTRAL INDEX KEY: 0001509510 IRS NUMBER: 592414380 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14375 FILM NUMBER: 191204173 BUSINESS ADDRESS: STREET 1: 119 WASHINGTON AVENUE, SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 BUSINESS PHONE: 305-271-1900 MAIL ADDRESS: STREET 1: 119 WASHINGTON AVENUE, SUITE 504 CITY: MIAMI BEACH STATE: FL ZIP: 33139 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001509510 XXXXXXXX 09-30-2019 09-30-2019 false Thomas J. Herzfeld Advisors, Inc.

119 WASHINGTON AVENUE, SUITE 504 MIAMI BEACH FL 33139

13F HOLDINGS REPORT 028-14375 N Erik M. Herzfeld President 305-777-1660 /s/ Erik M. Herzfeld Miami Beach FL 11-07-2019 1 257 271114 1 028-00085 Virtus Investment Advisers, Inc. INFORMATION TABLE 2 fp0046794_13fhr-table.xml 13F INFORMATION TABLE Aberdeen Asia Pacific In Com COM 003009107 790 188539 SH SOLE 188539 0 0 Aberdeen Emerging Markets Equity Inc. COM 00301W105 338 48590 SH SOLE 48590 0 0 Aberdeen Global Dynamic Dividend Fund COM 00302M106 1488 154235 SH OTR 1 76549 77686 0 Aberdeen Global Premier Properties Fund COM SH BEN INT 00302L108 996 160195 SH SOLE 160195 0 0 Aberdeen Japan Equity Fund Inc COM 00306J109 99 13569 SH SOLE 13569 0 0 Aberdeen Total Dynamic Dividend Fund COM SH BEN INT 00326L100 2580 309379 SH OTR 1 171310 138069 0 Accenture PLC Ireland SHS CLASS A G1151C101 18 93 SH SOLE 93 0 0 Adams Diversified Equity Fund Inc COM 006212104 3839 242336 SH SOLE 242336 0 0 Adams Natural Resources Fund Inc COM 00548F105 105 6605 SH SOLE 6605 0 0 Advent Claymore Convertible Securities and Income Fund COM 00764C109 378 25954 SH SOLE 25954 0 0 Air products and Chemicals, Inc. COM 009158106 7 30 SH SOLE 30 0 0 Alcon, Inc. ORD SHS H01301128 11 192 SH SOLE 192 0 0 Alibaba Group Holding Limited SPONSORED ADS 01609W102 40 238 SH SOLE 238 0 0 Allegion PLC ORD SHS G0176J109 10 95 SH SOLE 95 0 0 AllianceBernstein National Municipal Income Fund Inc COM 01864U106 142 10311 SH SOLE 10311 0 0 Alphabet Inc. CAP STK CL A 02079K305 10 8 SH SOLE 8 0 0 Amazon Com Inc COM 023135106 10 6 SH SOLE 6 0 0 America Movil SAB de CV SPON ADR L SHS 02364W105 664 44690 SH SOLE 44690 0 0 American Electric Power Co Inc COM 025537101 8 83 SH SOLE 83 0 0 American Express Co COM 025816109 11 91 SH SOLE 91 0 0 American Tower Corporation COM 03027X100 7 30 SH SOLE 30 0 0 Amgen Inc COM 031162100 135 700 SH SOLE 700 0 0 Aon Plc SHS CL A G0408V102 18 94 SH SOLE 94 0 0 Apollo Tactical Income Fund Inc COM 037638103 5537 365499 SH OTR 1 246235 119264 0 Apple Inc COM 037833100 12 53 SH SOLE 53 0 0 Ares Dynamic Credit Allocation Fund, Inc. COM 04014F102 1630 109363 SH SOLE 109363 0 0 ASA Gold and Precious Metals Ltd SHS G3156P103 19 5021 SH SOLE 5021 0 0 ASML Holding N V N Y REGISTRY SHS N07059210 41 164 SH SOLE 164 0 0 Avianca Holdings SA SPON ADR REP PFD 05367G100 1092 300029 SH SOLE 300029 0 0 Banco Bilbao Vizcaya Argentaria SA SPONSORED ADR 05946K101 34 6523 SH SOLE 6523 0 0 Banco Bradesco S.A. SP ADR PFD 059460303 4 456 SH SOLE 456 0 0 Bancolombia SA SPON ADR PREF 05968L102 904 18280 SH SOLE 18280 0 0 Becton Dickinson & Co COM 075887109 7 27 SH SOLE 27 0 0 BlackRock Calif Mun Income COM SH BEN INT 09248E102 75 5503 SH SOLE 5503 0 0 Blackrock Core Bd Tr SHS BEN INT 09249E101 2893 200235 SH OTR 1 119910 80325 0 BlackRock Credit Allocation Income Trust COM 092508100 5415 397545 SH OTR 1 322545 75000 0 BlackRock Debt Strategies Fund COM NEW 09255R202 278 25871 SH SOLE 25871 0 0 BlackRock Enhanced Equity Dividend Trust COM 09251A104 14 1576 SH SOLE 1576 0 0 Blackrock Income Tr Inc. COM 09247F100 767 126178 SH SOLE 126178 0 0 BlackRock Limited Duration Income Trust COM SHS 09249W101 100 6424 SH SOLE 6424 0 0 BlackRock Muni Intermediate Duration Fund Inc COM 09253X102 925 65248 SH SOLE 65248 0 0 BlackRock Municipal 2030 Target Term Trust COM SHS BEN IN 09257P105 265 11216 SH SOLE 11216 0 0 BlackRock Munihldngs Cali QL COM 09254L107 219 15476 SH SOLE 15476 0 0 Boulder Growth & Income Fund Inc COM 101507101 12445 1111151 SH OTR 1 869163 241988 0 BrandywineGLOBAL - Global Income Opportunities Fund Inc. COM 10537L104 1269 104917 SH SOLE 104917 0 0 Bristol-Myers Squibb Co COM 110122108 86 1700 SH SOLE 1700 0 0 Brookfield Global Listed Infr COM SHS 11273Q109 570 41562 SH OTR 1 3882 37680 0 Brookfield Real Assets Incom COM SH BEN INT 112830104 546 24171 SH OTR 1 1800 22371 0 Carnival Corp UNIT 99/99/9999 143658300 1159 26518 SH SOLE 26518 0 0 Cemex SAB de CV SPON ADR NEW 151290889 1061 270645 SH SOLE 270645 0 0 Central and Eastern European Fund Inc COM 153436100 47 1790 SH SOLE 1790 0 0 Central Securities Corp COM 155123102 11344 361259 SH OTR 1 281440 79819 0 Chubb Ltd COM H1467J104 15 90 SH SOLE 90 0 0 Cisco Systems, Inc. COM 17275R102 7 132 SH SOLE 132 0 0 Coca Cola European Partners SHS G25839104 14 244 SH SOLE 244 0 0 Consolidated Water Co Ltd ORD G23773107 1155 70025 SH SOLE 70025 0 0 Copa Holdings SA CL A P31076105 2397 24273 SH SOLE 24273 0 0 Cornerstone Strategic Value Fund Inc COM 21924B302 13256 1166932 SH OTR 1 908798 258134 0 Cornerstone Total Rtrn Fd In COM 21924U300 5418 493020 SH OTR 1 449008 44012 0 CyberArk Software Ltd. SHS M2682V108 8 76 SH SOLE 76 0 0 Delaware Investments Minnesota Municipal Income Fund II Inc COM 24610V103 156 11884 SH SOLE 11884 0 0 Deutsche Municipal Income Trust COM 233368109 291 25136 SH SOLE 25136 0 0 Diageo PLC SPON ADR NEW 25243Q205 28 173 SH SOLE 173 0 0 Duff & Phelps Util Copr COM 26432K108 185 20049 SH SOLE 20049 0 0 Eagle Point Credit Co Inc COM 269808101 360 22817 SH SOLE 22817 0 0 Eaton Vance Calif Mun Bd Fd COM 27828A100 64 5615 SH SOLE 5615 0 0 Eaton Vance California Municipal Income Trust SH BEN INT 27826F101 22 1618 SH SOLE 1618 0 0 Eaton Vance Limited Duration Income Fund COM 27828H105 8195 655610 SH OTR 1 480105 175505 0 Eaton Vance Mun Bd Fd COM 27827X101 228 17594 SH SOLE 17594 0 0 Eaton Vance Muni Income Trust SH BEN INT 27826U108 127 9869 SH SOLE 9869 0 0 Eaton Vance Short Duration Diversified Income Fund COM 27828V104 906 69601 SH SOLE 69601 0 0 Eli Lilly & Co COM 532457108 67 600 SH SOLE 600 0 0 Embraer S A SP ADR REP 4 COM 29082A107 6 325 SH SOLE 325 0 0 Empire State Realty Trust Inc CL A 292104106 912 63894 SH SOLE 63894 0 0 Equinix Inc COM PAR $0.001 29444U700 23 40 SH SOLE 40 0 0 Era Group Inc COM 26885G109 142 13474 SH SOLE 13474 0 0 EVERTEC Inc COM 30040P103 529 16956 SH SOLE 16956 0 0 Exxon Mobil Corp COM 30231G102 3 45 SH SOLE 45 0 0 First BanCorp/Puerto Rico COM NEW 318672706 2639 264477 SH SOLE 264477 0 0 First Trust Aberdeen Global Opportunity Income Fund COM SHS 337319107 644 60947 SH SOLE 60947 0 0 First Trust Energy Infrastructure Fund COM 33738C103 3975 240764 SH OTR 1 177344 63420 0 First Trust Mortgage Income Fund COM SHS 33734E103 171 12210 SH SOLE 12210 0 0 Firsthand Technology Value Fund, Inc. COM 33766Y100 557 72817 SH SOLE 72817 0 0 Fomento Economico Mexicano SAB de CV SPON ADR UNITS 344419106 1364 14896 SH SOLE 14896 0 0 Franklin Unvl Tr SH BEN INT 355145103 704 93375 SH OTR 1 70108 23267 0 Fresh Del Monte Produce Inc ORD G36738105 1444 42341 SH SOLE 42341 0 0 Gabelli Equity Trust Inc COM 362397101 33 5447 SH SOLE 5447 0 0 General American Investors Co Inc COM 368802104 6541 179946 SH OTR 1 136475 43471 0 Great Elm Cap Corp COM 390320109 1234 150525 SH SOLE 150525 0 0 Grupo Aeroportuario del Sureste SAB de CV SPON ADR SER B 40051E202 1007 6600 SH SOLE 6600 0 0 Grupo Televisa SAB SPON ADR REP ORD 40049J206 278 28400 SH SOLE 28400 0 0 GW Pharmaceuticals PLC ADS 36197T103 4 32 SH SOLE 32 0 0 HDFC Bank Ltd SPONSORED ADS 40415F101 7 130 SH SOLE 130 0 0 Highland Floating Rate Opportunities Fund SHS BEN INT 43010E404 14589 1092809 SH OTR 1 893272 199537 0 HIS Markit Ltd SHS G47567105 14 211 SH SOLE 211 0 0 Incyte Corp COM 45337C102 18 242 SH SOLE 242 0 0 Ingersoll-Rand Plc SHS G47791101 10 78 SH SOLE 78 0 0 Inovio Pharmaceuticals Inc COM NEW 45773H201 10 5000 SH SOLE 5000 0 0 Intuit COM 461202103 6 24 SH SOLE 24 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 1026 93230 SH SOLE 93230 0 0 Invesco Exchng Traded Fd Tr CEF INM COMPSI 46138E404 79 3500 SH SOLE 3500 0 0 Invesco QQQ Tr UNIT SER 1 46090E103 51 270 SH SOLE 270 0 0 Invesco Senior Income Trust COM 46131H107 2332 555234 SH SOLE 555234 0 0 iShares Nasdaq Biotechnology ETF NASDAQ BIOTECH 464287556 552 5550 SH SOLE 5550 0 0 Ishares Tr SHORT TREAS BD 464288679 1196 10814 SH SOLE 10814 0 0 Ishares Tr 13 Yr 1 3 YR TREAS BD 464287457 635 7481 SH SOLE 7481 0 0 Ishares Tr Short Term SHRT NAT MUN ETF 464288158 408 3826 SH SOLE 3826 0 0 iShares U.S. Medical Devices ETF U.S. MED DVC ETF 464288810 760 3075 SH SOLE 3075 0 0 iShares US Preferred Stock ETF PFD AND INCM SEC 464288687 75 2000 SH SOLE 2000 0 0 Itau Unibanco Holding S.A. SPON ADR REP PFD 465562106 18 2104 SH SOLE 2104 0 0 Ivy High Income Opportunities Fund COM 465893105 257 18781 SH SOLE 18781 0 0 Japan Smaller Capitalization Fund Inc COM 47109U104 286 32620 SH SOLE 32620 0 0 JPMorgan Chase & Co COM 46625H100 14 116 SH SOLE 116 0 0 Kaixin Auto Holdings SHS G5223X100 14 8000 SH SOLE 8000 0 0 Karyopharm Therapeutics Inc COM 48576U106 14 1500 SH SOLE 1500 0 0 Kayne Anderson Midstream/Energy Fund Inc COM 48661E108 690 63756 SH OTR 1 56057 7699 0 Kayne Anderson MLP Investment Company COM 486606106 201 13922 SH SOLE 13922 0 0 Koninklijke Philips NV NY REG SH NEW 500472303 9 204 SH SOLE 204 0 0 Lennar Corp CL A 526057104 2262 40500 SH SOLE 40500 0 0 Liberty All Star Equity Fund SH BEN INT 530158104 30 4613 SH SOLE 4613 0 0 Liberty All Star Growth Fund Inc COM 529900102 31 5235 SH SOLE 5235 0 0 LivaNova PLC SHS G5509L101 615 8330 SH SOLE 8330 0 0 Lululemon Athletica Inc COM 550021109 10 52 SH SOLE 52 0 0 Macquarie Global Infrastructure Total Return Fund Inc COM 55608D101 419 17400 SH OTR 1 7119 10281 0 Marriott Vacations Worldwide Corp COM 57164Y107 1735 16745 SH SOLE 16745 0 0 Martin Marietta Materials Inc COM 573284106 822 3000 SH SOLE 3000 0 0 MasTec Inc COM 576323109 7291 112297 SH SOLE 112297 0 0 McDonald's Corp COM 580135101 10 45 SH SOLE 45 0 0 Medtronic plc SHS G5960L103 8 71 SH SOLE 71 0 0 Merck & Co Inc COM 58933Y105 233 2763 SH SOLE 2763 0 0 MFS Charter Income Trust SH BEN INT 552727109 1361 163787 SH SOLE 163787 0 0 MFS Government Markets Income Trust SH BEN INT 552939100 358 77693 SH SOLE 77693 0 0 MFS Investment Grade Municipal Trust SH BEN INT 59318B108 848 85413 SH SOLE 85413 0 0 MFS Multimarket Income Trust SH BEN INT 552737108 2268 383739 SH SOLE 383739 0 0 MFS Municipal Income Trust SH BEN INT 552738106 159 22614 SH SOLE 22614 0 0 Microsoft Corp COM 594918104 20 144 SH SOLE 144 0 0 Morgan Stanley India Investment Fund Inc COM 61745C105 1026 54122 SH OTR 1 4122 50000 0 MorphoSys AG SPONSORED ADS 617760202 23 837 SH SOLE 837 0 0 Neuberger Berman MLP Income Fund Inc COM 64129H104 9 1296 SH SOLE 1296 0 0 Neuberger Brman NY Muni Fd COM 64124K102 3 241 SH SOLE 241 0 0 New Oriental Education & Technology Group Inc SPON ADR 647581107 6 56 SH SOLE 56 0 0 NexPoint Credit Strategies Fund COM NEW 65340G205 24752 1380452 SH OTR 1 929569 450883 0 NextEra Energy Inc COM 65339F101 1409 6049 SH SOLE 6049 0 0 Northrop Grumman Corporation COM 666807102 10 27 SH SOLE 27 0 0 Norwegian Cruise Line Holdings Ltd SHS G66721104 2948 56944 SH SOLE 56944 0 0 Novartis AG SPONSORED ADR 66987V109 119 1368 SH SOLE 1368 0 0 Nuveen AMT-Free Quality Municipal Income Fund COM 670657105 102 7136 SH SOLE 7136 0 0 Nuveen Core Equity Alpha Fund COM 67090X107 37 2610 SH SOLE 2610 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 11865 1586173 SH OTR 1 1255230 330943 0 Nuveen Floating Rate Income Opportunity Fund COM SHS 6706EN100 3090 323905 SH OTR 1 193305 130600 0 Nuveen Multi-Market Income Fund Inc COM 67075J107 7 1002 SH SOLE 1002 0 0 Nuveen NASDAQ 100 Dynamic Overwrite Fund COM SHS 670699107 38 1722 SH SOLE 1722 0 0 Nuveen New Jersey Quality Municipal Income Fund COM 67069Y102 93 6456 SH SOLE 6456 0 0 Nuveen Preferred Income Opportunities Fund SPONSORED ADR 636274409 13 239 SH SOLE 239 0 0 Nuveen Real Asset Income and Growth Fund COM 67074Y105 332 18986 SH SOLE 18986 0 0 Nuveen Select Tax-Free Income 3 Portfolio SH BEN INT 67063X100 3 186 SH SOLE 186 0 0 OFS Credit Company Inc COM 67111Q107 9092 518513 SH OTR 1 448310 70203 0 ON Semiconductor Corporation COM 682189105 27 1429 SH SOLE 1429 0 0 Orange S.A. SPONSORED ADR 684060106 8 483 SH SOLE 483 0 0 Oxford Square Capital Corp. COM 69181V107 881 141463 SH SOLE 141463 0 0 PagSeguro Digital Ltd. COM CL A G68707101 7 146 SH SOLE 146 0 0 PepsiCo, Inc. COM 713448108 12 88 SH SOLE 88 0 0 Pfizer Inc COM 717081103 5 129 SH SOLE 129 0 0 PGIM Global Short Duration High Yield Fund, Inc. COM 69346J106 6470 450220 SH OTR 1 367538 82682 0 PGIM Short Duration High Yield Fund, Inc. COM 69346H100 7593 507924 SH OTR 1 349735 158189 0 PGT Innovations Inc COM 69336V101 1039 60170 SH SOLE 60170 0 0 PIMCO Enhanced Short Maturity Active Exchange-Traded Fund ENHAN SHRT MA AC 72201R833 1159 11397 SH SOLE 11397 0 0 PIMCO ETF Tr SHTRM MUN BD ACT 72201R874 1280 25278 SH SOLE 25278 0 0 PIMCO Global StocksPLS Inc. COM 722011103 54 4657 SH SOLE 4657 0 0 Pimco New York Municipal Income Fund II COM 72200Y102 255 21356 SH SOLE 21356 0 0 Pioneer Municipal High Income Advantage Trust COM 723762100 621 56726 SH SOLE 56726 0 0 Pioneer Municipal High Income Trust COM SHS 723763108 7 600 SH SOLE 600 0 0 Popular Inc COM NEW 733174700 2987 55230 SH SOLE 55230 0 0 Principal Real Estate Income Fund SHS BEN INT 74255X104 427 20749 SH SOLE 20749 0 0 ProShares Short VIX Short-Term Futures ETF SHT VIX ST TRM 74347W130 6 110 SH SOLE 110 0 0 Prudential PLC ADR 74435K204 5 136 SH SOLE 136 0 0 PTC Inc. COM 69370C100 16 239 SH SOLE 239 0 0 Qudian Inc. ADR 747798106 16 2263 SH SOLE 2263 0 0 Raytheon Co COM NEW 755111507 8 43 SH SOLE 43 0 0 RELX Plc SPONSORED ADR 759530108 10 406 SH SOLE 406 0 0 Repay Holdings Corporation COM CL A 76029L100 13 1000 SH SOLE 1000 0 0 Restaurant Brands International Inc COM 76131D103 8 112 SH SOLE 112 0 0 Rivernorth Doubleline Strate COM 76882G107 5 300 SH SOLE 300 0 0 Rivernorth Opportunistic Mun COM 76883F108 530 23861 SH SOLE 23861 0 0 RMR Real Estate Income Fund COM 76970B101 3411 167304 SH OTR 1 122048 45256 0 Rogers Communications Inc CL B 775109200 58 1198 SH SOLE 1198 0 0 Royal Bk Cda Montreal Que COM 780087102 9 106 SH SOLE 106 0 0 Royal Caribbean Cruises Ltd COM V7780T103 3383 31229 SH SOLE 31229 0 0 Royal Dutch Shell PLC SPON ADR B 780259107 661 276 SH SOLE 276 0 0 Royce Value Trust Inc COM 780910105 177 12888 SH SOLE 12888 0 0 Sangamo Therapeutics, Inc. 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COM 89417E109 4 29 SH SOLE 29 0 0 The Walt Disney Co COM DISNEY 254687106 11 82 SH SOLE 82 0 0 Tiffany & Co. COM 886547108 29 314 SH SOLE 314 0 0 TJX Cos Inc COM 872540109 6 116 SH SOLE 116 0 0 Tortoise Power and Energy Infrastructure Fund Inc COM 89147X104 2496 138583 SH OTR 1 78241 60342 0 Total S.A. SPONSORED ADR 89151E109 10 191 SH SOLE 191 0 0 Tri-Continental Corp COM 895436103 102 3735 SH SOLE 3735 0 0 Unilever N.V. N Y SHS NEW 904784709 15 257 SH SOLE 257 0 0 United States Oil Fund LP UNITS 91232N108 11 1000 SH SOLE 1000 0 0 United Technologies Corp COM 913017109 11 78 SH SOLE 78 0 0 UnitedHealth Group Inc COM 91324P102 56 257 SH SOLE 257 0 0 VanEck Vectors Gold Miners ETF GOLD MINERS ETF 92189F106 81 3039 SH SOLE 3039 0 0 Verizon Communications Inc COM 92343V104 7 113 SH SOLE 113 0 0 Vertical Capital Income Fund SHS BEN INT 92535C104 559 52328 SH SOLE 52328 0 0 Viacom Inc. 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