13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-15, with 292 holding rows worth $214,686,000.
- Accession
- 0001398344-15-003351
- Filer
- CIK 1509510
- Filed
- 2015-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 292 entries on the cover page, a total value of $214,686,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $214,686,000 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 |
|---|---|---|---|---|---|---|
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 1,374,708 | $11,781,000 | thousands by filing date | |
| Oxford Lane Capital, 7.50% Pfd Series 2023 | 691543300 | preferred stock | 448,896 | $11,227,000 | thousands by filing date | |
| Oxford Lane Cap8.125. Called 7 | 691543409 | PFD | 324,298 | $8,189,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 354,650 | $7,299,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 425,479 | $5,940,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 312,658 | $5,575,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 268,319 | $5,479,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,104,454 | $5,003,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 560,722 | $4,996,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 210,010 | $4,555,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 181,238 | $4,196,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 120,029 | $3,935,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 310,020 | $3,863,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 37,800 | $3,817,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 405,210 | $3,754,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 603,366 | $3,524,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 93,924 | $3,285,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 239,827 | $3,240,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 75,526 | $3,174,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 142,397 | $3,086,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 108,094 | $3,082,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 322,304 | $2,917,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 129,407 | $2,725,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 93,713 | $2,718,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 134,927 | $2,604,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 248,934 | $2,567,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 227,639 | $2,563,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 124,966 | $2,481,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 570 | $2,355,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 128,101 | $2,319,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 44,500 | $2,306,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 135,034 | $2,212,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 270,454 | $2,191,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 26,000 | $2,128,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 146,693 | $2,101,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 36,443 | $1,968,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 92,157 | $1,854,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 76,313 | $1,734,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 110,890 | $1,517,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 31,000 | $1,483,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 181,034 | $1,475,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 101,555 | $1,367,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 140,743 | $1,333,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 129,538 | $1,330,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 32,924 | $1,319,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 10,100 | $1,270,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 81,598 | $1,265,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 236,143 | $1,244,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 121,444 | $1,207,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 15,000 | $1,160,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 203,952 | $1,097,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 66,668 | $1,088,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 10,629 | $1,075,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 22,467 | $1,065,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 93,682 | $1,060,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 11,000 | $1,029,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 67,517 | $1,015,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 28,400 | $937,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 52,440 | $922,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 44,690 | $914,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 60,157 | $893,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 114,609 | $868,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 115,543 | $867,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 93,223 | $866,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 38,769 | $845,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 11,988 | $830,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 40,500 | $786,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 19,780 | $778,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 56,535 | $774,000 | thousands by filing date | |
| MVC Capital Preferred Series B | 553829201 | preferred stock | 29,970 | $754,000 | thousands by filing date | |
| GAMCO Global Gold, Natural Resources & Income Trust by Gabelli Preferred Series B | 36465A307 | preferred stock | 31,430 | $708,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 8,799 | $703,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 40,031 | $684,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 76,942 | $666,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 31,101 | $651,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 39,820 | $644,000 | thousands by filing date | |
| GDL FUND (THE) SER B PFD | 361570302 | preferred stock | 12,800 | $642,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 32,000 | $606,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 64,008 | $603,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 24,753 | $596,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 5,750 | $592,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 38,994 | $587,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 34,145 | $572,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 32,571 | $548,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 8,330 | $541,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 5,155 | $536,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 128,859 | $523,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 96,614 | $504,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 22,643 | $495,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 42,345 | $486,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 14,000 | $481,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 27,126 | $474,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 25,238 | $431,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 3,000 | $419,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 16,511 | $409,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 35,075 | $398,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 31,163 | $392,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 18,815 | $392,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 77,528 | $380,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 14,657 | $364,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 9,586 | $358,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 17,000 | $354,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 21,569 | $353,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 38,101 | $353,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 31,900 | $350,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 6,000 | $348,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 13,807 | $345,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 4,000 | $337,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 15,387 | $330,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 44,962 | $326,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 4,298 | $315,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 26,708 | $303,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 6,000 | $301,000 | thousands by filing date | |
| Prospect Captl 6.95% Sr Nts 20 | 74348t201 | PFD | 11,540 | $294,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 17,308 | $266,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 46,230 | $250,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 15,294 | $241,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 14,864 | $237,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 24,585 | $214,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 12,000 | $200,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 11,067 | $200,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 6,000 | $198,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 5,000 | $195,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 15,191 | $187,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,899 | $184,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 23,835 | $184,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 88,121 | $172,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 22,075 | $164,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 7,221 | $162,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 16,756 | $160,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 9,331 | $159,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 8,881 | $152,000 | thousands by filing date | |
| NexPoint Credit Strategies Fund W/I | 65340G114 | common stock | 19,746 | $150,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 4,868 | $149,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 7,000 | $148,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,500 | $147,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 16,374 | $143,000 | thousands by filing date | |
| Foxby Corp. | 351645106 | common stock | 76,580 | $142,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 5,800 | $140,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,000 | $139,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 4,967 | $138,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 17,044 | $137,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 12,500 | $135,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 8,735 | $132,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 10,032 | $131,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 6,061 | $129,000 | thousands by filing date | |
| Oxford Lane Capital, 8.50% Pfd Series 2017 | 691543201 | preferred stock | 4,794 | $124,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 106,588 | $123,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,000 | $122,000 | thousands by filing date | |
| GAMCO INVESTORS, 5 PFDPFD SER G | 362397176 | PREFERRED STOCK | 5,045 | $120,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 5,021 | $114,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 5,000 | $107,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 10,307 | $104,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 9,961 | $103,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 8,523 | $98,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 5,000 | $97,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 8,000 | $95,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 4,746 | $93,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 7,586 | $93,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 6,352 | $90,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 5,015 | $88,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 8,610 | $86,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 1,000 | $85,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 4,144 | $85,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 6,001 | $84,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 5,001 | $82,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 500 | $80,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 5,400 | $78,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 4,940 | $71,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 3,049 | $71,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 3,843 | $69,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 6,767 | $68,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 400 | $66,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 4,964 | $62,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 5,150 | $60,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,000 | $55,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,745 | $52,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 36,000 | $52,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 6,280 | $49,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 2,410 | $48,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 410 | $47,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,542 | $45,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 477 | $44,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 1,440 | $44,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 2,326 | $44,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 4,630 | $44,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 1,000 | $43,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 303 | $42,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 615 | $42,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,322 | $41,000 | thousands by filing date | |
| NXP Semiconductors NV | N659X109 | common stock | 407 | $41,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 2,000 | $40,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 10,030 | $40,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 4,751 | $40,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 7,217 | $39,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 331 | $37,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 928 | $36,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 583 | $36,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 196 | $36,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 282 | $36,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 1,071 | $36,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,384 | $35,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 776 | $35,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 3,295 | $34,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 574 | $34,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 156 | $33,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,000 | $32,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 223 | $31,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 539 | $31,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 605 | $30,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 444 | $30,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 241 | $29,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,895 | $29,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 325 | $28,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 1,853 | $27,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,463 | $27,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,316 | $27,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,427 | $27,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 1,511 | $26,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 1,316 | $26,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,618 | $25,000 | thousands by filing date | |
| Tri Continental Corp | 895436202 | PFD | 500 | $25,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 881 | $24,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 652 | $23,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 220 | $23,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 4,022 | $23,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,250 | $23,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 468 | $22,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 871 | $22,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,376 | $22,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,743 | $22,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 237 | $22,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 848 | $22,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,850 | $22,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 160 | $21,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 258 | $21,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 128 | $21,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 323 | $20,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 102 | $20,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 272 | $20,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 2,100 | $20,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 456 | $18,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 174 | $18,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 183 | $18,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 175 | $18,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 223 | $18,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 210 | $18,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,000 | $18,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 152 | $17,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 143 | $17,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,000 | $17,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 311 | $16,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 901 | $16,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 179 | $15,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 208 | $15,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 454 | $14,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 144 | $14,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 288 | $14,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 163 | $14,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 243 | $14,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 200 | $14,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 655 | $14,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 458 | $14,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 175 | $13,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,000 | $13,000 | thousands by filing date | |
| Tortoise Energy Infrastructure, 3.75% Preferred Series B | 89147L704 | preferred stock | 1,300 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 36 | $12,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,402 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 322 | $12,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 574 | $12,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 400 | $12,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 100 | $11,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 716 | $11,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 429 | $9,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 111 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 143 | $8,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $8,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 800 | $8,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 700 | $7,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 116 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 209 | $6,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 65 | $5,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 282 | $5,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 250 | $4,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 365 | $4,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 39 | $3,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 31 | $3,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 200 | $3,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 98 | $3,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 200 | $3,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 234 | $3,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 58 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-15-003351 | this filing | 2015-05-15 | acceptance time not in the bulk data set |