13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-16, with 298 holding rows worth $214,260,000.
- Accession
- 0001398344-21-003396
- Filer
- CIK 1509510
- Filed
- 2021-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 298 entries on the cover page, a total value of $214,260,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $214,268,000 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 |
|---|---|---|---|---|---|---|
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 2,132,827 | $21,925,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 2,018,397 | $21,234,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 713,715 | $8,943,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 500,482 | $7,272,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 439,329 | $6,590,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 89,007 | $6,068,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 890,783 | $5,639,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 167,113 | $5,455,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,186,090 | $5,278,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 435,346 | $4,850,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 293,759 | $4,254,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 182,024 | $3,859,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 390,635 | $3,457,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 90,012 | $3,275,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 183,285 | $3,169,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 55,230 | $3,111,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 258,526 | $3,032,000 | thousands by filing date | |
| ALLIANZGI ARTIFICIAL INTELLI | 01883M101 | COM | 111,312 | $2,935,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 285,596 | $2,810,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 74,560 | $2,773,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 289,477 | $2,669,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 35,120 | $2,623,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 318,096 | $2,570,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 186,323 | $2,508,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 474,494 | $2,425,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 183,095 | $2,272,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 86,717 | $2,205,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 372,212 | $2,185,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 24,236 | $1,870,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 173,232 | $1,861,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 349,655 | $1,839,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 313,222 | $1,801,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 118,816 | $1,685,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 277,513 | $1,679,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 127,976 | $1,598,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 148,939 | $1,573,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 77,117 | $1,569,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 106,139 | $1,568,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 20,250 | $1,564,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 77,384 | $1,530,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 132,550 | $1,511,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 27,943 | $1,497,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 223,008 | $1,363,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 121,706 | $1,271,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 90,316 | $1,189,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 93,001 | $1,149,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 220,645 | $1,141,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 14,610 | $1,107,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 6,600 | $1,089,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 13,500 | $1,029,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 3,075 | $1,006,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 10,919 | $999,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 33,722 | $966,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 23,280 | $935,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 277,187 | $934,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 6,745 | $926,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 57,344 | $892,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 70,930 | $879,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 3,000 | $852,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 29,864 | $851,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 59,524 | $846,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,550 | $841,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 36,377 | $816,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 207,600 | $791,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 66,490 | $783,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 65,830 | $767,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 61,519 | $767,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 35,693 | $766,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 53,112 | $756,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 5,000 | $742,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 166,513 | $711,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 58,877 | $709,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 34,866 | $701,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 73,894 | $689,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 27,785 | $668,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 16,956 | $667,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 7,481 | $646,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 59,454 | $583,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 67,181 | $582,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 98,109 | $564,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 25,559 | $554,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 8,330 | $552,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 5,400 | $551,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 137 | $415,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 23,517 | $395,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 28,000 | $367,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 25,486 | $348,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 36,762 | $338,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 21,575 | $302,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 23,122 | $288,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 26,007 | $283,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 23,630 | $275,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 20,893 | $257,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 16,206 | $254,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,398 | $249,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,807 | $230,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 31,181 | $216,000 | thousands by filing date | |
| RIVERNORTH MANAGED DUR MUN I | 76882H105 | COM | 11,599 | $206,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 13,284 | $198,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 26,131 | $196,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 12,102 | $186,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 12,615 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 11,572 | $174,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 717 | $165,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 10,948 | $159,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 18,854 | $155,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 8,000 | $155,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 11,218 | $147,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 9,511 | $136,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 13,211 | $133,000 | thousands by filing date | |
| RIVERNORTH FLEXIBLE MUN INCO | 76883H104 | COM | 5,750 | $126,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 18,322 | $122,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 4,014 | $118,000 | thousands by filing date | |
| BRISTOW GROUP INC | 11040G103 | COM | 4,491 | $118,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,232 | $116,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 5,031 | $110,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 642 | $108,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 8,034 | $107,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,700 | $105,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 7,072 | $105,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 6,528 | $99,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRGY SHS BEN INT | 151461209 | CEF | 10,259 | $97,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 6,456 | $93,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 270 | $85,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 842 | $85,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 19,078 | $85,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 220 | $82,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 7,820 | $82,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 5,000 | $82,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 225 | $79,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 6,882 | $78,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 12,995 | $75,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 4,000 | $73,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 4,522 | $68,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 6,387 | $67,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 4,748 | $64,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 150 | $63,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 6,088 | $62,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 246 | $58,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 5,000 | $57,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 489 | $54,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 142 | $51,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,878 | $49,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 6,800 | $49,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 2,884 | $48,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,919 | $47,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 5,649 | $46,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 738 | $45,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 5,000 | $44,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F119 | *W EXP 09/29/202 | 5,000 | $43,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 307 | $42,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 4,660 | $41,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 1,250 | $41,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 2,869 | $40,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 670 | $39,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 6,254 | $39,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 339 | $37,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 50 | $35,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 518 | $35,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 4,880 | $34,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675116 | *W EXP 01/28/202 | 7,272 | $32,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 135 | $30,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,303 | $28,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 138 | $27,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 2,790 | $27,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 188 | $24,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 1,000 | $24,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 260 | $23,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,500 | $23,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 1,500 | $23,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 471 | $22,000 | thousands by filing date | |
| RICE ACQUISIT- A | 762594109 | COMMON STOCK | 2,000 | $22,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T114 | W EXP 05/09/202 | 9,291 | $21,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 187 | $20,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 44 | $19,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 902 | $18,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 1,408 | $18,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 24 | $17,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5 | $16,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 61 | $16,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 100 | $16,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 54 | $15,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,747 | $15,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 1,000 | $15,000 | thousands by filing date | |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 3,000 | $15,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 64 | $14,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 28 | $14,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 1,540 | $14,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L115 | *W EXP 05/09/202 | 1,500 | $14,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 89 | $13,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 7 | $12,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 110 | $12,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 45 | $12,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R121 | UNIT 99/99/9999 | 1,000 | $12,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 99 | $11,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 31 | $11,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 70 | $11,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 70 | $11,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 221 | $11,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,000 | $11,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 586 | $11,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 1,000 | $11,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 219 | $10,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 102 | $10,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 51 | $9,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 11 | $9,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 42 | $9,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 73 | $9,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 6,250 | $9,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 73 | $8,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 68 | $8,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 15 | $8,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 77 | $7,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 15 | $7,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 120 | $7,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 30 | $7,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 4 | $7,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 100 | $7,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 50 | $7,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 80 | $7,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 55 | $7,000 | thousands by filing date | |
| RICE ACQUISITION CORP | 762594117 | *W EXP 10/26/202 | 3,000 | $7,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 114 | $6,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 30 | $6,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 43 | $6,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 43 | $6,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 64 | $6,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 5 | $6,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 378 | $6,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 617 | $6,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 768 | $6,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 605 | $6,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 129 | $5,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 35 | $5,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 112 | $5,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 141 | $5,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 99 | $5,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 222 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W130 | SHT VIX ST TRM | 110 | $5,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 561 | $5,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 7 | $4,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 20 | $4,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 68 | $4,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 11 | $4,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 35 | $4,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 7 | $4,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 5 | $4,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 15 | $4,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 25 | $4,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 5 | $4,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 18 | $4,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 109 | $4,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 238 | $4,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 215 | $4,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 309 | $4,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 22 | $3,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 142 | $3,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 14 | $3,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 40 | $3,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 36 | $3,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 57 | $3,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 38 | $3,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 26 | $3,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 7 | $3,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 210 | $3,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 55 | $3,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 32 | $3,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 44 | $3,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 11 | $3,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 11 | $3,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 6 | $3,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 17 | $3,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 321 | $3,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 85 | $3,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 21 | $3,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 76 | $3,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 27 | $3,000 | thousands by filing date | |
| SEAGEN INC | 81181C104 | COM | 18 | $3,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 10 | $3,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 163 | $3,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 24 | $2,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 17 | $2,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 7 | $2,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 15 | $2,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 11 | $2,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 11 | $2,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 18 | $2,000 | thousands by filing date | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 48 | $2,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 7 | $2,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 33 | $2,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 166 | $2,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 34 | $2,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 99 | $2,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 88 | $2,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 133 | $2,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 42 | $1,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 15 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-21-003396 | this filing | 2021-02-16 | acceptance time not in the bulk data set |