13F-HR filed by Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. filed this 13F-HR for the quarter ended 2026-03-31, filed 2026-05-12, with 115 holding rows worth $294,049,993.
- Accession
- 0001398344-26-008954
- Filer
- CIK 1509510
- Filed
- 2026-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2026
A holdings report, 115 entries on the cover page, a total value of $294,049,993 stated on the cover page (in dollars after the unit check, H1), rows summing to $294,049,993 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| FS SPECIALTY LENDING FD | 644323107 | COM SH BEN INT | 2,808,727 | $35,137,175 | dollars as filed | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 1,253,348 | $27,648,857 | dollars as filed | |
| FS CREDIT OPPORTUNITIES CORP | 30290Y101 | COMMON STOCK | 3,679,935 | $18,767,669 | dollars as filed | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 2,715,661 | $15,506,424 | dollars as filed | |
| HERZFELD CARIBBEAN BASIN FD | 42804T205 | COM | 807,215 | $12,511,833 | dollars as filed | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 796,652 | $12,344,123 | dollars as filed | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,015,400 | $11,189,708 | dollars as filed | |
| SABA CAPITAL INCOME & OPRNT | 78518H202 | SHS NEW | 1,417,189 | $9,551,854 | dollars as filed | |
| PROSHARES TR | 74350P667 | ULTRASHRT S&P500 | 108,584 | $8,170,946 | dollars as filed | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 125,885 | $7,808,647 | dollars as filed | |
| SABA CAPITAL INCOME & OPPORT | 880198205 | COM NEW | 774,518 | $6,443,990 | dollars as filed | |
| PIMCO ACCESS INCOME FUND | 72203T100 | SHS BENFIN INT | 439,995 | $6,340,322 | dollars as filed | |
| BLUEROCK PVT REAL ESTATE FD | 09631P102 | COM | 362,504 | $6,021,191 | dollars as filed | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 391,497 | $5,653,217 | dollars as filed | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N855 | SIMPLIFY INTERST | 117,701 | $5,429,194 | dollars as filed | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 713,294 | $5,363,971 | dollars as filed | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 340,641 | $4,380,643 | dollars as filed | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 79,468 | $4,023,465 | dollars as filed | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 394,000 | $3,719,360 | dollars as filed | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 323,526 | $3,400,258 | dollars as filed | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 234,136 | $3,343,462 | dollars as filed | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 181,116 | $3,135,118 | dollars as filed | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 59,023 | $3,117,595 | dollars as filed | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 249,976 | $3,014,711 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25461A189 | DAI GOL BEA ETF | 58,011 | $2,957,401 | dollars as filed | |
| RIVERNORTH FLEXIBLE MUNI INC | 76883Y107 | COM | 229,634 | $2,904,870 | dollars as filed | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 41,499 | $2,728,144 | dollars as filed | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 154,860 | $2,649,655 | dollars as filed | |
| PROSHARES TR | 74349Y829 | ULTRASHORT QQQ | 116,263 | $2,634,520 | dollars as filed | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 216,752 | $2,611,862 | dollars as filed | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 66,224 | $2,511,876 | dollars as filed | |
| ANGEL OAK FINL STRATEGIES IN | 03464A100 | COM BEN INT | 193,430 | $2,466,233 | dollars as filed | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 149,092 | $2,395,908 | dollars as filed | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 98,083 | $2,317,211 | dollars as filed | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 96,212 | $2,275,799 | dollars as filed | |
| DESTINY TECH100 INC | 25063F107 | COM SHS | 82,806 | $2,217,545 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 109,973 | $2,204,959 | dollars as filed | |
| OXFORD LANE CAP CORP | 691543847 | CMN | 222,539 | $2,176,431 | dollars as filed | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 103,791 | $2,072,706 | dollars as filed | |
| MAINSTAY CBRE GBL INFRSTR ME | 56064Q107 | COM | 130,723 | $1,920,321 | dollars as filed | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 32,661 | $1,909,700 | dollars as filed | |
| BLACKROCK TECH AND PRIVATE E | 09260Q108 | SHS BEN INT | 280,753 | $1,852,970 | dollars as filed | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 107,778 | $1,843,001 | dollars as filed | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 82,672 | $1,831,185 | dollars as filed | |
| PGIM SHORT DUR HIG YLD OPP F | 69355J104 | COM | 113,577 | $1,819,504 | dollars as filed | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 36,505 | $1,812,840 | dollars as filed | |
| THORNBURG INCM BUILDER OPP T | 885213108 | COM | 69,502 | $1,469,627 | dollars as filed | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 64,610 | $1,456,956 | dollars as filed | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 51,278 | $1,380,920 | dollars as filed | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 72,639 | $1,316,945 | dollars as filed | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 117,867 | $1,284,750 | dollars as filed | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 114,887 | $1,235,035 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 49,141 | $1,222,137 | dollars as filed | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 172,416 | $1,210,360 | dollars as filed | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 49,066 | $1,113,798 | dollars as filed | |
| XAI Floating Rate & Alternative Income Trust | 98400T304 | Com | 59,545 | $1,022,983 | dollars as filed | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 164,932 | $991,241 | dollars as filed | |
| PIMCO DYNAMIC INCOME OPRNTS | 69355M107 | COM BEN SHS | 66,751 | $863,090 | dollars as filed | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 136,584 | $692,481 | dollars as filed | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 79,226 | $679,760 | dollars as filed | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 68,384 | $671,531 | dollars as filed | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 44,396 | $659,281 | dollars as filed | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,398 | $601,545 | dollars as filed | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 75,124 | $514,599 | dollars as filed | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 126,239 | $405,227 | dollars as filed | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 8,000 | $381,760 | dollars as filed | |
| SURO CAP CORP | 86887Q109 | COM NEW | 32,518 | $348,268 | dollars as filed | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 61,837 | $333,301 | dollars as filed | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 88,443 | $328,124 | dollars as filed | |
| SPY | 78462F103 | SHS | 390 | $253,633 | dollars as filed | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 23,409 | $187,038 | dollars as filed | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 11,076 | $180,207 | dollars as filed | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 13,654 | $156,338 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 270 | $155,839 | dollars as filed | |
| Netflix, Inc | 64110L106 | COM | 1,000 | $96,150 | dollars as filed | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 150 | $92,514 | dollars as filed | |
| PROSHARES TR | 74349Y746 | SHORT MSCI EMRNG | 3,245 | $62,304 | dollars as filed | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 12,911 | $60,294 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 100 | $57,213 | dollars as filed | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 6,546 | $55,378 | dollars as filed | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 600 | $34,728 | dollars as filed | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,724 | $33,665 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 6,614 | $31,615 | dollars as filed | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 1,762 | $31,064 | dollars as filed | |
| ANGEL STUDIOS INC. CL A COM | 034948109 | Stock | 5,699 | $17,382 | dollars as filed | |
| KOREA FD INC | 500634209 | COM NEW | 380 | $17,062 | dollars as filed | |
| TCW CONV SECS FD INC | 872340104 | COM | 3,258 | $14,628 | dollars as filed | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 1,150 | $12,535 | dollars as filed | |
| NUVEEN MULTI ASSET INCOME FUND | 670750108 | COM | 898 | $11,135 | dollars as filed | |
| PROSHARES TR II | 74347W130 | SHT VIX ST TRM | 220 | $10,076 | dollars as filed | |
| Net Power Inc W Exp 06/08/202 | 64107A113 | SPAC Combination | 32,771 | $8,848 | dollars as filed | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 907 | $8,716 | dollars as filed | |
| AIRJOULE TECHNOLOGIES CORP | 612160119 | *W EXP 03/15/202 | 15,307 | $8,572 | dollars as filed | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 775 | $8,223 | dollars as filed | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,120 | $8,152 | dollars as filed | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,489 | $7,921 | dollars as filed | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 772 | $7,636 | dollars as filed | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 429 | $7,503 | dollars as filed | |
| Mexico Fund Inc/The | 592835102 | COM | 354 | $7,409 | dollars as filed | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 570 | $7,353 | dollars as filed | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 314 | $6,867 | dollars as filed | |
| ROYCE VALUE TRUST | 780910105 | COM | 402 | $6,677 | dollars as filed | |
| TRI CONTL CORP | 895436103 | COM | 195 | $6,175 | dollars as filed | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 714 | $6,152 | dollars as filed | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 1,098 | $6,148 | dollars as filed | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 225 | $6,007 | dollars as filed | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 393 | $5,814 | dollars as filed | |
| REAL ASSET ACQUISITION CORP | G73944111 | *W EXP 04/24/203 | 4,166 | $5,541 | dollars as filed | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 1,127 | $5,352 | dollars as filed | |
| Abrdn Emerging Markets | 00301W105 | COM | 667 | $4,862 | dollars as filed | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 871 | $4,836 | dollars as filed | |
| PURECYCLE TECHNOLOGIES INC | 74623V111 | *W EXP 03/17/202 | 5,457 | $4,093 | dollars as filed | |
| Rice Acquisition Corp 3 W Exp 99/99/999 | G7553X114 | SPACS Warrant | 4,858 | $3,886 | dollars as filed | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 457 | $3,028 | dollars as filed | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 285 | $1,331 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-26-008954 | this filing | 2026-05-12 | acceptance time not in the bulk data set |