Skip to content
Disclosery

Thomas J. Herzfeld Advisors, Inc.

Follow

13F filer, CIK 1509510, MIAMI BEACH, FL

Thomas J. Herzfeld Advisors, Inc. reported $291,714,271 across 104 holdings for the quarter ended 2025-09-30, in a 13F-HR filed 2025-11-12. Its ten largest share positions make up 49.76% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001398344-25-020702

Period
2025-09-30
Reported value
$292M
Holdings
104
Top 10 weight
49.76%
New
13
Sold out
17

Largest buys vs the previous quarter

SecurityShares changeApprox. value
PAAAnew+205,593$10.6M
PFIXnew+191,613$9.23M
ASAadded+169,030$7.74M
BRWadded+728,552$5.66M
PDOnew+318,125$4.49M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
FSCOreduced-2,260,297-$15.6M
SJBexited-573,034-$8.94M
CLMreduced-1,065,427-$8.82M
EMOexited-73,828-$3.54M
DMAreduced-377,821-$3.26M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2025

Share positions as resolved from 13F-HR 0001398344-25-020702, largest first. % of portfolio is the value over $291,714,271, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
PDXPIMCO DYNAMIC INCOME STRATEGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,533,137 shares; 2024Q4: 1,493,089 shares; 2025Q1: 1,641,558 shares; 2025Q2: 1,585,816 shares; 2025Q3: 1,569,891 shares 1,569,891$39.1M13.42%-15,925Timeline
HFROHIGHLAND OPPS & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 3,019,455 shares; 2024Q4: 2,760,778 shares; 2025Q1: 2,677,303 shares; 2025Q2: 2,600,109 shares; 2025Q3: 2,796,339 shares 2,796,339$17.8M6.09%+196,230Timeline
SABASABA CAPITAL INCOME & OPPORTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 570,087 shares; 2024Q4: 1,436,590 shares; 2025Q1: 1,701,210 shares; 2025Q2: 1,750,772 shares; 2025Q3: 1,787,446 shares 1,787,446$16.3M5.59%+36,674Timeline
HERZFELD CREDIT INCOME FUNDHERZFELD CREDIT INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 2,532,115 shares; 2024Q4: 2,497,386 shares; 2025Q1: 6,043,689 shares; 2025Q2: 6,501,517 shares; 2025Q3: 6,100,753 shares 6,100,753$14.5M4.98%-400,764
PAAAPGIM ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 205,593 shares 205,593$10.6M3.63%newTimeline
JFRNUVEEN FLOATING RATE INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 648,025 shares; 2024Q4: 668,591 shares; 2025Q1: 1,172,900 shares; 2025Q2: 1,331,047 shares; 2025Q3: 1,287,853 shares 1,287,853$10.5M3.61%-43,194Timeline
RABROOKFIELD REAL ASSETS INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 309,471 shares; 2024Q4: 594,984 shares; 2025Q1: 666,668 shares; 2025Q2: 720,534 shares; 2025Q3: 724,706 shares 724,706$9.68M3.32%+4,172Timeline
PFIXSIMPLIFY EXCHANGE TRADED FUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 53,202 shares; 2025Q1: 51,764 shares; 2025Q2: not reported; 2025Q3: 191,613 shares 191,613$9.23M3.16%newTimeline
BRWSABA CAPITAL INCOME & OPRNTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 446,455 shares; 2025Q3: 1,175,007 shares 1,175,007$9.13M3.13%+728,552Timeline
ASAASA GOLD AND PRECIOUS MTLS LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 12,602 shares; 2025Q1: 12,088 shares; 2025Q2: 11,615 shares; 2025Q3: 180,645 shares 180,645$8.27M2.84%+169,030Timeline
PAXSPIMCO ACCESS INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 305,530 shares; 2024Q4: 358,285 shares; 2025Q1: 380,600 shares; 2025Q2: 435,309 shares; 2025Q3: 481,437 shares 481,437$7.83M2.69%+46,128Timeline
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 12,338 shares; 2024Q4: 12,341 shares; 2025Q1: 361 shares; 2025Q2: 325,726 shares; 2025Q3: 375,454 shares 375,454$6.82M2.34%+49,728Timeline
FSCOFS CREDIT OPPORTUNITIES CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 4,292,358 shares; 2024Q4: 3,237,249 shares; 2025Q1: 3,144,864 shares; 2025Q2: 3,223,806 shares; 2025Q3: 963,509 shares 963,509$6.66M2.28%-2,260,297Timeline
XFFCXFLAHERTY & CRUMRIN PFD & INMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 229,127 shares; 2024Q4: 368,225 shares; 2025Q1: 355,738 shares; 2025Q2: 386,181 shares; 2025Q3: 382,783 shares 382,783$6.47M2.22%-3,398Timeline
NBXGNEUBERGER NEXT GENERATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 360,412 shares; 2024Q4: 359,056 shares; 2025Q1: 348,571 shares; 2025Q2: 314,974 shares; 2025Q3: 394,211 shares 394,211$6.06M2.08%+79,237Timeline
TFLOISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 4,469 shares; 2024Q4: 2,168 shares; 2025Q1: 4,469 shares; 2025Q2: 108,689 shares; 2025Q3: 107,519 shares 107,519$5.44M1.86%-1,170Timeline
DPGDUFF & PHELPS UTLITY AND INFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 318,277 shares; 2025Q3: 420,950 shares 420,950$5.43M1.86%+102,673Timeline
SDHYPGIM SHORT DUR HIG YLD OPP FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 164,559 shares; 2025Q1: 164,585 shares; 2025Q2: 173,562 shares; 2025Q3: 321,346 shares 321,346$5.37M1.84%+147,784Timeline
NPFDNUVEEN VRIABL RAT PFD & INMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 634,969 shares; 2024Q4: 640,133 shares; 2025Q1: 410,089 shares; 2025Q2: 307,485 shares; 2025Q3: 261,335 shares 261,335$5.22M1.79%-46,150Timeline
LDPCOHEN & STEERS LTD DURATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 166,960 shares; 2024Q4: 186,703 shares; 2025Q1: 186,043 shares; 2025Q2: 200,918 shares; 2025Q3: 221,196 shares 221,196$4.79M1.64%+20,278Timeline
BSTZBLACKROCK SCIENCE & TECHNOLOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 227,639 shares; 2024Q4: 226,339 shares; 2025Q1: 202,849 shares; 2025Q2: 181,310 shares; 2025Q3: 209,711 shares 209,711$4.65M1.59%+28,401Timeline
TWNTAIWAN FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 64,926 shares; 2024Q4: 68,717 shares; 2025Q1: 74,104 shares; 2025Q2: 63,101 shares; 2025Q3: 84,582 shares 84,582$4.58M1.57%+21,481Timeline
TBLDTHORNBURG INCM BUILDER OPP TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 189,418 shares; 2024Q4: 184,536 shares; 2025Q1: 183,561 shares; 2025Q2: 214,693 shares; 2025Q3: 227,958 shares 227,958$4.53M1.55%+13,265Timeline
PDOPIMCO DYNAMIC INCOME OPRNTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: 89,425 shares; 2025Q2: not reported; 2025Q3: 318,125 shares 318,125$4.49M1.54%newTimeline
KYNKAYNE ANDERSON ENERGY INFRSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 245,557 shares; 2024Q4: 321,240 shares; 2025Q1: 337,162 shares; 2025Q2: 292,877 shares; 2025Q3: 321,171 shares 321,171$3.97M1.36%+28,294Timeline
SDSPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 3,626 shares; 2024Q4: not reported; 2025Q1: 48,007 shares; 2025Q2: 412,904 shares; 2025Q3: 271,755 shares 271,755$3.93M1.35%-141,149Timeline
RFMZRIVERNORTH FLEXIBLE MUNI INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 253,669 shares; 2024Q4: 255,434 shares; 2025Q1: 302,810 shares; 2025Q2: 303,069 shares; 2025Q3: 300,513 shares 300,513$3.92M1.34%-2,556Timeline
OXLCOXFORD LANE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 227,872 shares 227,872$3.86M1.32%newTimeline
XJQCXNUVEEN CR STRATEGIES INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 676,389 shares; 2025Q3: 684,381 shares 684,381$3.61M1.24%+7,992Timeline
ECOFIN SUSTAINABLE & SOC IM…ECOFIN SUSTAINABLE & SOC IMP TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 112,962 shares; 2024Q4: 265,279 shares; 2025Q1: 268,982 shares; 2025Q2: 195,307 shares; 2025Q3: 234,542 shares 234,542$2.76M0.95%+39,235
FINSANGEL OAK FINL STRATEGIES INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 203,446 shares; 2025Q3: 207,513 shares 207,513$2.72M0.93%+4,067Timeline
DIAXNUVEEN DOW 30SM DYNAMIC OVERWRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 268,086 shares; 2024Q4: 279,234 shares; 2025Q1: 285,536 shares; 2025Q2: 244,209 shares; 2025Q3: 180,969 shares 180,969$2.69M0.92%-63,240Timeline
CETCENTRAL SECS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 81,851 shares; 2024Q4: 82,237 shares; 2025Q1: 70,484 shares; 2025Q2: 52,665 shares; 2025Q3: 52,228 shares 52,228$2.68M0.92%-437Timeline
XGDVXGABELLI DIVID & INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 222 shares; 2024Q4: 225 shares; 2025Q1: 229 shares; 2025Q2: 233 shares; 2025Q3: 95,140 shares 95,140$2.58M0.88%+94,907Timeline
MEGINYLIM CBRE GLOBALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: 14,009 shares; 2025Q2: 14,304 shares; 2025Q3: 171,242 shares 171,242$2.51M0.86%+156,938Timeline
PFNPIMCO INCOME STRATEGY FD IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 399,172 shares; 2024Q4: 444,945 shares; 2025Q1: 362,833 shares; 2025Q2: 308,727 shares; 2025Q3: 319,586 shares 319,586$2.43M0.83%+10,859Timeline
TYGTORTOISE ENERGY INFRSTRCTR CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 99,054 shares; 2024Q4: 127,580 shares; 2025Q1: 105,767 shares; 2025Q2: 100,229 shares; 2025Q3: 53,109 shares 53,109$2.29M0.78%-47,120Timeline
CEFSEXCHANGE LISTED FDS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 18,106 shares; 2024Q4: 16,448 shares; 2025Q1: 135,966 shares; 2025Q2: 87,700 shares; 2025Q3: 98,498 shares 98,498$2.24M0.77%+10,798Timeline
DSMBNY MELLON STRATEGIC MUN BDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 99,710 shares; 2024Q4: 107,273 shares; 2025Q1: 127,724 shares; 2025Q2: 366,054 shares; 2025Q3: 338,579 shares 338,579$2M0.69%-27,475Timeline
BGXBLACKSTONE LONG SHORT CR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 2,706 shares; 2025Q3: 159,161 shares 159,161$1.91M0.65%+156,455Timeline
XPCQXPIMCO CALIF MUN INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 218,743 shares 218,743$1.91M0.65%newTimeline
XCMUXMFS HIGH YIELD MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 161,321 shares; 2024Q4: 284,360 shares; 2025Q1: 353,305 shares; 2025Q2: 550,525 shares; 2025Q3: 546,440 shares 546,440$1.9M0.65%-4,085Timeline
CXHMFS INVT GRADE MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 71,123 shares; 2024Q4: 97,088 shares; 2025Q1: 120,541 shares; 2025Q2: 241,702 shares; 2025Q3: 240,371 shares 240,371$1.89M0.65%-1,331Timeline
JLSNUVEEN MORTGAGE AND INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 80,859 shares; 2024Q4: 87,331 shares; 2025Q1: 92,014 shares; 2025Q2: 97,391 shares; 2025Q3: 97,359 shares 97,359$1.82M0.62%-32Timeline
HQLABRDN LIFE SCIENCES INVESTORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 116,937 shares 116,937$1.81M0.62%newTimeline
HQHABRDN HEALTHCARE INVESTORSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 94,616 shares 94,616$1.75M0.6%newTimeline
GNTGAMCO NAT RES GOLD & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 235,268 shares 235,268$1.65M0.57%newTimeline
DMOWESTERN ASSET MTG DEFINED OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 123,469 shares; 2024Q4: 134,792 shares; 2025Q1: 140,994 shares; 2025Q2: 139,971 shares; 2025Q3: 137,559 shares 137,559$1.61M0.55%-2,412Timeline
MMDNYLIM MACKAY DEFINEDTERM MUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 56,328 shares; 2025Q1: 71,859 shares; 2025Q2: 96,544 shares; 2025Q3: 96,504 shares 96,504$1.46M0.5%-40Timeline
BTTBLACKROCK MUN TARGET TERM TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 36,048 shares; 2025Q3: 49,300 shares 49,300$1.11M0.38%+13,252Timeline
MFMABERDEEN MUN INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 547,602 shares; 2024Q4: 526,027 shares; 2025Q1: 587,872 shares; 2025Q2: 430,567 shares; 2025Q3: 135,397 shares 135,397$730K0.25%-295,170Timeline
LEOBNY MELLON STRATEGIC MUNS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 35,789 shares; 2024Q4: 49,145 shares; 2025Q1: 71,290 shares; 2025Q2: 87,795 shares; 2025Q3: 93,605 shares 93,605$585K0.2%+5,810Timeline
GLDSPDR GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,398 shares; 2024Q4: 1,398 shares; 2025Q1: 1,398 shares; 2025Q2: 1,398 shares; 2025Q3: 1,398 shares 1,398$497K0.17%0Timeline
XMVTXBLACKROCK MUNIVEST FUND IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 49,763 shares; 2024Q4: 43,122 shares; 2025Q1: 73,069 shares; 2025Q2: 92,462 shares; 2025Q3: 46,110 shares 46,110$490K0.17%-46,352Timeline
CXEMFS HIGH INCOME MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 59,086 shares; 2024Q4: 76,036 shares; 2025Q1: 93,879 shares; 2025Q2: 121,587 shares; 2025Q3: 121,948 shares 121,948$454K0.16%+361Timeline
VFLABRDN NATL MUN INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 25,115 shares; 2025Q1: 31,321 shares; 2025Q2: 40,029 shares; 2025Q3: 26,366 shares 26,366$271K0.09%-13,663Timeline
SPYSTATE STR SPDR S&P 500 ETF TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 390 shares; 2024Q4: 390 shares; 2025Q1: 390 shares; 2025Q2: 390 shares; 2025Q3: 390 shares 390$260K0.09%0Timeline
DMBBNY MELLON MUN BD INFRASTRUCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 23,321 shares; 2025Q3: 23,321 shares 23,321$250K0.09%0Timeline
CCIFCARLYLE CREDIT INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 33,684 shares 33,684$196K0.07%newTimeline
QIDPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: 7,488 shares; 2025Q3: 8,522 shares 8,522$183K0.06%+1,034Timeline
QQQINVESCO QQQ TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 270 shares; 2024Q4: 270 shares; 2025Q1: 270 shares; 2025Q2: 270 shares; 2025Q3: 270 shares 270$162K0.06%0Timeline
NFLXNETFLIX INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 100 shares; 2024Q4: 100 shares; 2025Q1: 100 shares; 2025Q2: 100 shares; 2025Q3: 100 shares 100$120K0.04%0Timeline
STKCOLUMBIA SELIGM PREM TECH GRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 3,425 shares; 2024Q4: 3,997 shares; 2025Q1: 3,452 shares; 2025Q2: 3,448 shares; 2025Q3: 3,345 shares 3,345$118K0.04%-103Timeline
MDYSTATE STR SPDR S&P MIDCAP 40Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 150 shares; 2024Q4: 150 shares; 2025Q1: 150 shares; 2025Q2: 150 shares; 2025Q3: 150 shares 150$89.4K0.03%0Timeline
TMCTMC THE METALS COMPANY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 8,959 shares; 2024Q4: 8,959 shares; 2025Q1: 8,959 shares; 2025Q2: 12,911 shares; 2025Q3: 12,911 shares 12,911$82.2K0.03%0Timeline
CLMCORNERSTONE STRATEGIC INVESTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 756,291 shares; 2024Q4: 171,852 shares; 2025Q1: 88,892 shares; 2025Q2: 1,074,966 shares; 2025Q3: 9,539 shares 9,539$79K0.03%-1,065,427Timeline
METAMETA PLATFORMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 100 shares; 2024Q4: 100 shares; 2025Q1: 100 shares; 2025Q2: 100 shares; 2025Q3: 100 shares 100$73.4K0.03%0Timeline
DMADESTRA MULTI-ALTERNATIVE FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 669,203 shares; 2024Q4: 689,580 shares; 2025Q1: 611,015 shares; 2025Q2: 385,907 shares; 2025Q3: 8,086 shares 8,086$69.9K0.02%-377,821Timeline
FXYINVESCO CURRENCYSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 4,198 shares; 2024Q4: 600 shares; 2025Q1: 600 shares; 2025Q2: 600 shares; 2025Q3: 600 shares 600$37.3K0.01%0Timeline
FPFFIRST TR INTER DURATN PFD &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: 1,055 shares; 2025Q1: 1,013 shares; 2025Q2: 906 shares; 2025Q3: 1,857 shares 1,857$35.6K0.01%+951Timeline
ANGXANGEL STUDIOS INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 5,699 shares 5,699$33.1K0.01%newTimeline
PFOFLAHERTY & CRUMRINE PFD INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 22,542 shares; 2024Q4: 39,919 shares; 2025Q1: 2,865 shares; 2025Q2: 2,868 shares; 2025Q3: 3,214 shares 3,214$31.3K0.01%+346Timeline
NET POWER INCNET POWER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 32,771 shares; 2024Q4: 32,771 shares; 2025Q1: 32,771 shares; 2025Q2: 32,771 shares; 2025Q3: 32,771 shares 32,771$24.6K0.01%0
JOFJAPAN SMALLER CAPITALIZATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,557 shares; 2024Q4: 1,557 shares; 2025Q1: 1,668 shares; 2025Q2: 1,691 shares; 2025Q3: 1,851 shares 1,851$19.5K0.01%+160Timeline
PURECYCLE TECHNOLOGIES INCPURECYCLE TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 5,457 shares; 2024Q4: 5,457 shares; 2025Q1: 5,457 shares; 2025Q2: 5,457 shares; 2025Q3: 5,457 shares 5,457$18.4K0.01%0
KFKOREA FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 315 shares; 2024Q4: 313 shares; 2025Q1: 346 shares; 2025Q2: 374 shares; 2025Q3: 602 shares 602$18.4K0.01%+228Timeline
EEAEUROPEAN EQUITY FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 740 shares; 2024Q4: 744 shares; 2025Q1: 1,293 shares; 2025Q2: 1,385 shares; 2025Q3: 1,681 shares 1,681$18.2K0.01%+296Timeline
TDFTEMPLETON DRAGON FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 976 shares; 2024Q4: 1,095 shares; 2025Q1: 1,181 shares; 2025Q2: 1,165 shares; 2025Q3: 1,408 shares 1,408$16.4K0.01%+243Timeline
GFNEW GERMANY FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,453 shares; 2024Q4: 1,460 shares; 2025Q1: 1,715 shares; 2025Q2: 1,739 shares; 2025Q3: 1,249 shares 1,249$14.4K<0.01%-490Timeline
XEMDXWESTERN ASSET EMERGING MKTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 1,399 shares 1,399$14.4K<0.01%newTimeline
MXFMEXICO FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 694 shares; 2024Q4: 694 shares; 2025Q1: 666 shares; 2025Q2: 669 shares; 2025Q3: 705 shares 705$13.9K<0.01%+36Timeline
MXEMEXICO EQUITY & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,150 shares; 2024Q4: 1,125 shares; 2025Q1: 1,111 shares; 2025Q2: 1,123 shares; 2025Q3: 1,144 shares 1,144$13.6K<0.01%+21Timeline
AEFABRDN EMERGING MARKETS EX CHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,239 shares; 2024Q4: 1,545 shares; 2025Q1: 1,267 shares; 2025Q2: 1,297 shares; 2025Q3: 1,994 shares 1,994$12.9K<0.01%+697Timeline
NMAINUVEEN MULTI ASSET INCOME FUQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 978 shares 978$12.7K<0.01%newTimeline
AIRJWAIRJOULE TECHNOLOGIES CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 15,307 shares; 2024Q4: 15,307 shares; 2025Q1: 15,307 shares; 2025Q2: 15,307 shares; 2025Q3: 15,307 shares 15,307$11.5K<0.01%0Timeline
SVXYPROSHARES TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 220 shares; 2024Q4: 220 shares; 2025Q1: 220 shares; 2025Q2: 220 shares; 2025Q3: 220 shares 220$11.2K<0.01%0Timeline
EMFTEMPLETON EMERGING MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: not reported; 2024Q4: not reported; 2025Q1: not reported; 2025Q2: not reported; 2025Q3: 660 shares 660$11K<0.01%newTimeline
XAODXABRDN TOTAL DYNAMIC DIVIDENDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,058 shares; 2024Q4: 1,058 shares; 2025Q1: 1,094 shares; 2025Q2: 1,103 shares; 2025Q3: 1,161 shares 1,161$11K<0.01%+58Timeline
EDFVIRTUS STONE HBR EMRG MKTS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 1,568 shares; 2024Q4: 1,546 shares; 2025Q1: 1,750 shares; 2025Q2: 1,822 shares; 2025Q3: 2,052 shares 2,052$10.4K<0.01%+230Timeline
IIFMORGAN STANLEY INDIA INVT FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 565 shares; 2024Q4: 576 shares; 2025Q1: 706 shares; 2025Q2: 706 shares; 2025Q3: 391 shares 391$10.3K<0.01%-315Timeline
TSITCW STRATEGIC INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 2,000 shares; 2024Q4: 2,000 shares; 2025Q1: 2,000 shares; 2025Q2: 2,000 shares; 2025Q3: 2,000 shares 2,000$9.84K<0.01%0Timeline
GAMGENERAL AMERN INVS CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 103 shares; 2024Q4: 111 shares; 2025Q1: 112 shares; 2025Q2: 112 shares; 2025Q3: 112 shares 112$6.97K<0.01%0Timeline
XBGYXBLACKROCK ENHANCED INTL DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 3,486 shares; 2024Q4: 3,231 shares; 2025Q1: 1,100 shares; 2025Q2: 2,435 shares; 2025Q3: 1,211 shares 1,211$6.96K<0.01%-1,224Timeline
ADXADAMS DIVERSIFIED EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 77,883 shares; 2024Q4: 83,059 shares; 2025Q1: 71,378 shares; 2025Q2: 295 shares; 2025Q3: 301 shares 301$6.72K<0.01%+6Timeline
BCATBLACKROCK CAP ALLOCATION TERQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 213,860 shares; 2024Q4: 212,086 shares; 2025Q1: 430 shares; 2025Q2: 425 shares; 2025Q3: 435 shares 435$6.43K<0.01%+10Timeline
GABGABELLI EQUITY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 943 shares; 2024Q4: 968 shares; 2025Q1: 994 shares; 2025Q2: 1,020 shares; 2025Q3: 1,044 shares 1,044$6.36K<0.01%+24Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 606 shares; 2024Q4: 636 shares; 2025Q1: 650 shares; 2025Q2: 664 shares; 2025Q3: 678 shares 678$6.17K<0.01%+14Timeline
RVTROYCE SMALL CAP TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 350 shares; 2024Q4: 361 shares; 2025Q1: 368 shares; 2025Q2: 375 shares; 2025Q3: 382 shares 382$6.16K<0.01%+7Timeline
TYTRI CONTL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 161 shares; 2024Q4: 172 shares; 2025Q1: 174 shares; 2025Q2: 179 shares; 2025Q3: 181 shares 181$6.15K<0.01%+2Timeline
ASGLIBERTY ALL-STAR GROWTH FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 991 shares; 2024Q4: 991 shares; 2025Q1: 1,034 shares; 2025Q2: 1,054 shares; 2025Q3: 1,077 shares 1,077$5.98K<0.01%+23Timeline
JCENUVEEN CORE EQUITY ALPHA FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 348 shares; 2024Q4: 362 shares; 2025Q1: 362 shares; 2025Q2: 370 shares; 2025Q3: 378 shares 378$5.95K<0.01%+8Timeline
QQQXNUVEEN NASDAQ 100 DYNAMIC OVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 113,701 shares; 2024Q4: 117,169 shares; 2025Q1: 111,162 shares; 2025Q2: 212 shares; 2025Q3: 216 shares 216$5.94K<0.01%+4Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 746 shares; 2024Q4: 746 shares; 2025Q1: 784 shares; 2025Q2: 801 shares; 2025Q3: 823 shares 823$5.22K<0.01%+22Timeline
ZTRVIRTUS TOTAL RETURN FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2023Q4: restricted; 2024Q1: restricted; 2024Q2: restricted; 2024Q3: 902 shares; 2024Q4: 925 shares; 2025Q1: 660 shares; 2025Q2: 676 shares; 2025Q3: 692 shares 692$4.46K<0.01%+16Timeline

Sold out in Q3 2025

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
SJBPROSHARES TR573,034$8.94Mshares
EMOCLEARBRIDGE ENERGY MIDSTREAM73,828$3.54Mshares
NSLRNEOSTELLAR CAP CORP264,336$2.17Mshares
PIMCO CALIFORNIA MUNICIPAL …PIMCO CALIFORNIA MUNICIPAL INC322,989$1.73Mshares
ACPABRDN INCOME CREDIT STRATEGI196,259$1.16Mshares
SPMCSOUND POINT MERIDIAN CAP INC62,921$1.13Mshares
MUCBLACKROCK MUNIHLDNGS CALI94,734$980Kshares
NUWNUVEEN AMT-FREE MUN VALUE FD51,476$704Kshares
NCLHNORWEGIAN CRUISE LINE HLDGS30,000$608Kshares
EICEAGLE POINT INCOME CO23,784$325Kshares
PNIPIMCO NEW YORK MUN FD II48,376$325Kshares
PIMCO NY MUNICIPAL INCOME FDPIMCO NY MUNICIPAL INCOME FD45,917$321Kshares
PIMCO NEW YORK MUN INCMPIMCO NEW YORK MUN INCM60,500$317Kshares
ASGIABRDN GLOBAL INFRA INCOME FU638$13Kshares
EDDMORGAN STANLEY EMERGING MKTS1,917$9.81Kshares
CHARGEPOINT HLDGS INCCHARGEPOINT HLDGS INC445$6.26Kshares
NXDTNEXPOINT DIVERSIFIED REL ET261$1.09Kshares

How Q3 2025 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001398344-25-020702 base2025-11-12acceptance time not in the bulk data set