13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 297 holding rows worth $175,420,000.
- Accession
- 0001398344-14-000979
- Filer
- CIK 1509510
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 297 entries on the cover page, a total value of $175,420,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $175,417,000 with VALUE read as thousands by filing date, 13F file number 028-14375. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 1,168,936 | $9,796,000 | thousands by filing date | |
| First Opportunity Fund | 33587T108 | common stock | 605,980 | $5,417,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 503,266 | $5,133,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,215,909 | $4,779,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 347,782 | $4,546,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 164,837 | $4,513,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 216,759 | $4,331,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 252,828 | $3,231,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 79,054 | $2,783,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 992 | $2,773,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 207,829 | $2,716,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 19,602 | $2,387,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 147,013 | $2,354,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 179,723 | $2,347,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 138,419 | $2,341,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 387,317 | $2,312,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 201,740 | $2,274,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 278,009 | $2,238,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 98,305 | $2,210,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 167,882 | $2,186,000 | thousands by filing date | |
| Oxford Lane Capital, 7.50% Pfd Series 2023 | 691543300 | preferred stock | 91,661 | $2,099,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 383,416 | $2,086,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 115,900 | $1,941,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 153,405 | $1,895,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 57,800 | $1,891,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 91,709 | $1,889,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 259,110 | $1,847,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 198,716 | $1,840,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 251,902 | $1,761,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 18,300 | $1,758,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 43,500 | $1,721,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 89,490 | $1,714,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 35,000 | $1,660,000 | thousands by filing date | |
| GAMCO INVESTORS, 5 PFDPFD SER G | 362397176 | PREFERRED STOCK | 76,326 | $1,598,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 200,102 | $1,589,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 9,327 | $1,493,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 98,916 | $1,480,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 50,151 | $1,461,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 93,182 | $1,450,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 34,574 | $1,427,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 141,607 | $1,427,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 100,117 | $1,412,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 170,459 | $1,408,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 34,000 | $1,366,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 97,510 | $1,359,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 126,632 | $1,314,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 79,385 | $1,234,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 42,300 | $1,185,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 96,997 | $1,180,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 142,840 | $1,148,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 62,894 | $1,083,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 90,900 | $1,064,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 44,690 | $1,044,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 21,280 | $1,043,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 55,777 | $1,034,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 27,000 | $1,019,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 111,175 | $1,019,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 170,953 | $985,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 62,079 | $975,000 | thousands by filing date | |
| GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B | 36465A307 | preferred stock | 49,349 | $965,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 19,467 | $958,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 9,500 | $930,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 10,000 | $928,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 45,027 | $897,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 28,400 | $859,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 65,508 | $820,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 38,001 | $801,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 65,561 | $776,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 98,888 | $776,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 42,540 | $772,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 13,198 | $747,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 58,717 | $740,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 39,750 | $739,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 87,500 | $711,000 | thousands by filing date | |
| WESTERN ASSET INFL MGMT FD I | 95766U107 | COM | 42,005 | $711,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 40,500 | $698,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 19,143 | $679,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 43,446 | $668,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 152,971 | $664,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 30,376 | $645,000 | thousands by filing date | |
| GDL FUND (THE) SER B PFD | 361570302 | preferred stock | 12,800 | $643,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 27,876 | $641,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 53,003 | $636,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 20,890 | $591,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 25,325 | $560,000 | thousands by filing date | |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 37,763 | $551,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 39,170 | $535,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 56,625 | $533,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 27,012 | $527,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 15,186 | $523,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 41,552 | $508,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 33,209 | $502,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 25,765 | $501,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 24,880 | $492,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 22,061 | $479,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 42,075 | $474,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 27,761 | $460,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 28,591 | $449,000 | thousands by filing date | |
| JZ CAPITAL PRTNRS LTD GUERNSSH | G5216J134 | COM | 60,000 | $445,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 17,643 | $435,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 27,130 | $429,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 54,420 | $420,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 32,462 | $415,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 23,900 | $398,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 14,570 | $377,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 33,316 | $364,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 14,495 | $364,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 24,396 | $363,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 71,483 | $360,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 8,361 | $357,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 5,500 | $327,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 17,740 | $327,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 41,445 | $316,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 17,921 | $301,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 15,207 | $289,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 15,669 | $277,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 49,730 | $266,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 32,068 | $265,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 7,000 | $259,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 17,221 | $256,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 24,132 | $244,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 13,401 | $229,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 19,350 | $222,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 9,035 | $220,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 11,038 | $219,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 11,527 | $218,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 26,556 | $215,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 14,179 | $215,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 21,999 | $210,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 16,592 | $208,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 12,000 | $207,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 11,560 | $203,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 11,387 | $199,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 16,756 | $194,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,900 | $190,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 8,000 | $190,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 93,614 | $186,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 15,810 | $186,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,000 | $182,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 15,751 | $181,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 13,677 | $173,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 6,000 | $172,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 9,331 | $169,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 13,100 | $162,000 | thousands by filing date | |
| Foxby Corp. | 351645106 | common stock | 82,338 | $161,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 14,319 | $159,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 1,363 | $157,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 7,000 | $155,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 5,079 | $155,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 17,393 | $155,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 106,588 | $155,000 | thousands by filing date | |
| MARGO CARIBE INC | 566605101 | common stock | 64,239 | $154,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 16,906 | $151,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 11,597 | $149,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 16,194 | $145,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 11,800 | $143,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 5,592 | $140,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 12,000 | $138,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 12,000 | $137,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 36,000 | $135,000 | thousands by filing date | |
| CARIBBEAN UTILITIES CO LTD A | G1899E146 | common stock | 12,000 | $133,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 9,766 | $130,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,395 | $130,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 7,295 | $128,000 | thousands by filing date | |
| FUEGO ENTERPRISES INC | 35953E201 | common stock | 513,210 | $128,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 10,307 | $126,000 | thousands by filing date | |
| GENERAL AMERICAN | 368802401 | PRF | 4,900 | $124,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,962 | $121,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 6,571 | $120,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 9,725 | $119,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 9,200 | $114,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 6,043 | $110,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 6,314 | $107,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 8,000 | $106,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 5,000 | $104,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 8,808 | $102,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 10,250 | $101,000 | thousands by filing date | |
| EUNITS 2 YR US EQTY MKT PTNT | 29841R102 | UNIT | 8,601 | $101,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 3,215 | $99,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 6,001 | $99,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 10,476 | $98,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 4,631 | $95,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 2,690 | $95,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 7,450 | $93,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 7,785 | $93,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 6,206 | $91,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 7,500 | $90,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,001 | $90,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 5,000 | $89,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,853 | $88,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 12,002 | $87,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 7,000 | $85,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 6,001 | $85,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 3,001 | $85,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 4,001 | $85,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 8,209 | $84,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 5,440 | $83,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 5,001 | $83,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 750 | $82,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 6,500 | $79,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 5,400 | $75,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 5,918 | $74,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 6,000 | $70,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 1,036 | $70,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 5,700 | $69,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 6,000 | $69,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 5,310 | $67,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 3,910 | $67,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 6,401 | $66,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 3,000 | $66,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 3,751 | $64,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,000 | $63,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 5,000 | $63,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 6,000 | $63,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 4,300 | $60,000 | thousands by filing date | |
| Engex | 292851102 | common stock | 16,472 | $58,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 5,000 | $57,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 4,000 | $56,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 4,000 | $53,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 5,296 | $53,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 4,800 | $52,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 4,000 | $51,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 5,600 | $50,000 | thousands by filing date | |
| MVC Capital Preferred Series B | 553829201 | preferred stock | 2,000 | $50,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 2,471 | $48,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 600 | $47,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 3,400 | $47,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 2,410 | $46,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,750 | $46,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 3,318 | $45,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,625 | $42,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,763 | $35,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 2,264 | $35,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 3,907 | $34,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,402 | $34,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 2,317 | $34,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 1,615 | $33,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 2,500 | $32,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 1,359 | $28,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 8,030 | $27,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,801 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $26,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,726 | $25,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 2,000 | $25,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 2,000 | $25,000 | thousands by filing date | |
| Nuveen Georgia Dividend Advantage Municipal Fund 2, 2.65% Pfd 2/1/2015 | 67072B305 | preferred stock | 2,500 | $25,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,000 | $24,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,019 | $23,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,743 | $23,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 1,500 | $22,000 | thousands by filing date | |
| Tri Continental Corp | 895436202 | PFD | 500 | $22,000 | thousands by filing date | |
| Tortoise Energy Infrastructure, 3.75% Preferred Series B | 89147L704 | preferred stock | 2,600 | $22,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 1,266 | $21,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 1,165 | $21,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 848 | $21,000 | thousands by filing date | |
| Nuveen Georgia Dividend Advantage Municipal Fund, 2.65% Pfd, Series 2015 #2 | 67072B503 | preferred stock | 2,000 | $20,000 | thousands by filing date | |
| Nuveen Maryland Premium Income Municipal Fund, 2.65% Pfd 2/1/2015 | 67061Q404 | preferred stock | 2,000 | $20,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,000 | $19,000 | thousands by filing date | |
| Geltech Solutions Inc | 368537106 | COM | 25,000 | $18,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 3,000 | $18,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 3,042 | $17,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 1,802 | $14,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,000 | $14,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 1,000 | $13,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 300 | $12,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 1,000 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 877 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,000 | $12,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 1,000 | $12,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1,000 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 1,803 | $12,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 1,000 | $12,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,000 | $12,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,000 | $12,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 1,000 | $11,000 | thousands by filing date | |
| GRUPO TMM SA-SP ADR A | 40051D303 | COM | 12,280 | $11,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 1,500 | $10,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 892 | $10,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 833 | $10,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 800 | $10,000 | thousands by filing date | |
| Nuveen California Premium Income Municipal Fund, 2.00% Pfd 10/1/2015 | 6706L0300 | preferred stock | 1,000 | $10,000 | thousands by filing date | |
| Nuveen Georgia Dividend Advantage Municipal Fund, 2.65% Pfd, Series 2015 #1 | 67072B404 | preferred stock | 1,000 | $10,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,000 | $9,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 1,000 | $8,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,000 | $8,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 6,100 | $7,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 500 | $6,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $6,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 504 | $6,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 350 | $5,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 510 | $4,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 88 | $2,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 13 | $1,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 166 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-14-000979 | this filing | 2014-02-13 | acceptance time not in the bulk data set |