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Thomas J Herzfeld Advisors Inc
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CRD # | 108369 |
SEC # | 801-20866 |
CIK # | 0001509510 |
AUM | $726.9 MM (2024-03-28) |
Employees | 9 (44% Investors, 0% Brokers) |
Phone | 305-777-1660 |
Address | 119 Washington Avenue Miami Beach, FL 33139 |
Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
Total AUM ($MM) |
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Sector | Form 13F Holdings | Value ($MM) | |
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PIMCO Energy & Tactical Credit Opportunities Fund | 34.0 | ||
FS Credit Opportunities Corp | 23.1 | ||
Highland Income Fundma | 20.4 | ||
CornerStone Strategic Value Fund Inc | 8.6 | ||
Nuveen Preferred & Income Opportunities Fund | 7.8 | ||
Herzfeld Caribbean Basin Fund Inc | 5.7 | ||
Destra Multi-Alternative Fund | 5.7 | ||
Norwegian Cruise Line Holdings Ltd | 4.6 | ||
PIMCO Access Income Fund | 4.2 | ||
Royal Caribbean Cruises Ltd | 4.0 | ||
View All |
Holdings by Sector ($MM) |
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Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
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HF | HCM Co-Investment II LLC | 2024-03-28 | 9.0 | |
HF | HCM Co-Investment I LLC | 2024-03-28 | 8.5 | |
HF | The HCM Master Fund Limited | [2020-01-17] | 55.1 | 339.9 |
AUM Breakdown | Accounts | AUM ($MM) |
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By Client Type | ||
(a) Individuals (other than high net worth individuals) | 9 | 2.5 |
(b) Individuals (high net worth individuals) | 116 | 119.6 |
(c) Banking or thrift institutions | 0 | 0.0 |
(d) Investment companies | 1 | 56.3 |
(e) Business development companies | 0 | 0.0 |
(f) Pooled investment vehicles | 5 | 357.4 |
(g) Pension and profit sharing plans | 5 | 2.0 |
(h) Charitable organizations | 9 | 53.5 |
(i) State or municipal government entities | 0 | 0.0 |
(j) Other investment advisers | 0 | 0.0 |
(k) Insurance companies | 0 | 0.0 |
(l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
(m) Corporations or other businesses not listed above | 12 | 42.1 |
(n) Other | 123 | 93.4 |
Total | 280 | 726.9 |
By Discretionary | ||
Discretionary | 270 | 707.7 |
Non-Discretionary | 10 | 19.2 |
Total | 280 | 726.9 |
By Non-United States Persons | ||
Non-United States Persons | 339.9 | |
United States Persons | 386.9 | |
Total | 280 | 726.9 |
Form D Directors | # Filings | # Firms | 2011 - 2025 |
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Thomas Herzfeld | 1 | ||
Inc Thomas J Herzfeld Advisors | 1 | ||
Erik Herzfeld | 1 | ||
HCM GP | 1 |
EDGAR Form | CIK | 2011 - 2025 |
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13F-HR | [0001509510] | |
SC 13D | [0001509510] | |
SC 13G | [0001509510] |
Comparable Firms | State | AUM ($BB) |
---|---|---|
Herr Investment Group LLC
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TX | 0.7 |
Verdad Advisers LP
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MA | 0.7 |
Cabana LLC
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AR | 0.7 |
Skylands Capital LLC
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WI | 0.7 |
RJA Asset Management LLC
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CT | 0.7 |
Pier Capital LLC
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CT | 0.7 |
RB Capital Management LLC
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NV | 0.7 |
Alpha Architect LLC
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PA | 0.7 |
First TURN Management LLC
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CA | 0.7 |
Insight Advisors LLC
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PA | 0.7 |