# EDGAR Filing Document

**Accession Number:** 0001509510
**File Stem:** 0001398344-23-003265
**Filing Date:** 2023-2
**Character Count:** 34942
**Document Hash:** 44d02419ef469636d1b75441ba84eeb0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-003265.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001398344-23-003265

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Thomas J. Herzfeld Advisors, Inc.
- **CENTRAL INDEX KEY:** 0001509510
- **IRS NUMBER:** 592414380
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-14375
- **FILM NUMBER:** 23626391

**BUSINESS ADDRESS:**
- **STREET 1:** 119 WASHINGTON AVENUE, SUITE 504
- **CITY:** MIAMI BEACH
- **STATE:** FL
- **ZIP:** 33139
- **BUSINESS PHONE:** 305-271-1900

**MAIL ADDRESS:**
- **STREET 1:** 119 WASHINGTON AVENUE, SUITE 504
- **CITY:** MIAMI BEACH
- **STATE:** FL
- **ZIP:** 33139

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Thomas J. Herzfeld Advisors Inc.<br>**Address:** 119 WASHINGTON AVENUE SUITE 504<br>MIAMI BEACH, FL 33139

**Form 13F File Number:** 028-14375

**CRD Number (if applicable):** 000108369

**SEC File Number (if applicable):** 801-20866

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Erik M. Herzfeld<br>**Title:** President<br>**Phone:** 305-777-1660

**Signature, Place, and Date of Signing:**

/s/ Erik M. Herzfeld  Miami Beach, FL  02-13-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 317

**Form 13F Information Table Value Total:** $244039683

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| Abbott Laboratories | COM | 002824100 |  | 8015 | 73 | SH |  | SOLE |  | 73 | 0 | 0 |
| AbbVie Inc. | COM | 00287Y109 |  | 114258 | 707 | SH |  | SOLE |  | 707 | 0 | 0 |
| Aberdeen Asia Pacific Income | COM | 003009107 |  | 3127601 | 1189202 | SH |  | SOLE |  | 1189202 | 0 | 0 |
| Aberdeen Emerging Markets Equity Inc. | COM | 00301W105 |  | 6916 | 1343 | SH |  | SOLE |  | 1343 | 0 | 0 |
| Aberdeen Global Dynamic Dividend Fund | COM | 00302M106 |  | 13774 | 1456 | SH |  | SOLE |  | 1456 | 0 | 0 |
| Aberdeen Global Premier Properties Fund | COM SH BEN INT | 00302L108 |  | 4368 | 1120 | SH |  | SOLE |  | 1120 | 0 | 0 |
| Aberdeen Japan Equity Fund Inc | COM | 00306J109 |  | 5655 | 1071 | SH |  | SOLE |  | 1071 | 0 | 0 |
| Aberdeen Std Global Infrastructure | SHS BEN INT | 00326W106 |  | 2487796 | 146169 | SH |  | SOLE |  | 146169 | 0 | 0 |
| Aberdeen Total Dynamic Dividend Fund | COM SH BEN INT | 00326L100 |  | 8713 | 1117 | SH |  | SOLE |  | 1117 | 0 | 0 |
| Adams Diversified Equity Fund Inc | COM | 006212104 |  | 32492 | 2235 | SH |  | SOLE |  | 2235 | 0 | 0 |
| Adams Natural Resources Fund Inc | COM | 00548F105 |  | 4140769 | 189944 | SH |  | SOLE |  | 189944 | 0 | 0 |
| Aersale Corporation | COM | 00810F106 |  | 1609121 | 99206 | SH |  | SOLE |  | 99206 | 0 | 0 |
| AES Corp | COM | 00130H105 |  | 4256 | 148 | SH |  | SOLE |  | 148 | 0 | 0 |
| Air products and Chemicals Inc. | COM | 009158106 |  | 15413 | 50 | SH |  | SOLE |  | 50 | 0 | 0 |
| Albemarle Corporation | COM | 012653101 |  | 1301 | 6 | SH |  | SOLE |  | 6 | 0 | 0 |
| Alibaba Group Holding Limited | SPONSORED ADS | 01609W102 |  | 5285 | 60 | SH |  | SOLE |  | 60 | 0 | 0 |
| Allegion PLC | ORD SHS | G0176J109 |  | 3474 | 33 | SH |  | SOLE |  | 33 | 0 | 0 |
| Alnylam Pharmaceuticals Inc. | COM | 02043Q107 |  | 4991 | 21 | SH |  | SOLE |  | 21 | 0 | 0 |
| Alphabet Inc. Cl C | CL C | 02079K107 |  | 12067 | 136 | SH |  | SOLE |  | 136 | 0 | 0 |
| Amazon Com Inc | COM | 023135106 |  | 6216 | 74 | SH |  | SOLE |  | 74 | 0 | 0 |
| America Movil SAB de CV | SPON ADR L SHS | 02364W105 |  | 200164 | 10998 | SH |  | SOLE |  | 10998 | 0 | 0 |
| American Tower Corporation | COM | 03027X100 |  | 5932 | 28 | SH |  | SOLE |  | 28 | 0 | 0 |
| Amgen Inc | COM | 031162100 |  | 183848 | 700 | SH |  | SOLE |  | 700 | 0 | 0 |
| Angel Oak Final Strategies Incm Trm Trst | COM BEN INT | 03464A100 |  | 1979183 | 154503 | SH |  | SOLE |  | 154503 | 0 | 0 |
| Anheuser-Busch Inbev SA/NV ADR | SPONSORED ADR | 03524A108 |  | 2702 | 45 | SH |  | SOLE |  | 45 | 0 | 0 |
| Ansys Inc | COM | 03662Q105 |  | 4107 | 17 | SH |  | SOLE |  | 17 | 0 | 0 |
| Apollo Tactical Income Fund Inc | COM | 037638103 |  | 3976492 | 328093 | SH |  | SOLE |  | 328093 | 0 | 0 |
| Apple Inc | COM | 037833100 |  | 2858 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| Applied Materials Inc. | COM | 038222105 |  | 5648 | 58 | SH |  | SOLE |  | 58 | 0 | 0 |
| ASA Gold and Precious Metals Ltd | SHS | G3156P103 |  | 72145 | 5042 | SH |  | SOLE |  | 5042 | 0 | 0 |
| Ase Technology Hldg Co. Ltd. | Sponsored ADS | 00215W100 |  | 2207 | 352 | SH |  | SOLE |  | 352 | 0 | 0 |
| ASML Holding N V | N Y REGISTRY SHS | N07059210 |  | 71032 | 130 | SH |  | SOLE |  | 130 | 0 | 0 |
| Aspen Technology Inc. | COM | 29109X106 |  | 2876 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| AstraZeneca Group plc ADR | SPONSORED ADR | 046353108 |  | 13018 | 192 | SH |  | SOLE |  | 192 | 0 | 0 |
| Automatic Data Processing Inc. | COM | 053015103 |  | 10032 | 42 | SH |  | SOLE |  | 42 | 0 | 0 |
| Baidu Inc. | SPON ADR REP A | 056752108 |  | 1487 | 13 | SH |  | SOLE |  | 13 | 0 | 0 |
| Baker Hughes Company | CL A | 05722G100 |  | 40102 | 1358 | SH |  | SOLE |  | 1358 | 0 | 0 |
| Barings Global Short Duration High Yield Fund | Com | 06760L100 |  | 1656908 | 130671 | SH |  | SOLE |  | 130671 | 0 | 0 |
| Barrick Gold Corp | COM | 067901108 |  | 5240 | 305 | SH |  | SOLE |  | 305 | 0 | 0 |
| BeiGene Ltd. | SPONSORED ADR | 07725L102 |  | 3299 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| Bentley Sys Inc. | COM CL B | 08265T208 |  | 5359 | 145 | SH |  | SOLE |  | 145 | 0 | 0 |
| Berkley W R Corp | COM | 084423102 |  | 6919 | 96 | SH |  | SOLE |  | 96 | 0 | 0 |
| BlackRock Cap Allocation Tr | COM | 09260U109 |  | 3745080 | 270013 | SH |  | SOLE |  | 270013 | 0 | 0 |
| BlackRock Enhanced Equity Dividend Trust | COM | 09251A104 |  | 18424 | 2045 | SH |  | SOLE |  | 2045 | 0 | 0 |
| BlackRock Enhanced International Dividend Trust | COM BENE INTER | 092524107 |  | 8956 | 1784 | SH |  | SOLE |  | 1784 | 0 | 0 |
| BlackRock ESG Cap Allc Tr | SHS BEN INT | 09262F100 |  | 3315840 | 246898 | SH |  | SOLE |  | 246898 | 0 | 0 |
| BlackRock Innovation and Grw | SHS BEN INT | 09260Q108 |  | 2542711 | 373379 | SH |  | SOLE |  | 373379 | 0 | 0 |
| BlackRock Science and Technology Trust II | SHS BEN INT | 09260K101 |  | 2486807 | 159003 | SH |  | SOLE |  | 159003 | 0 | 0 |
| BlackRock Inc. | COM | 09247X101 |  | 17007 | 24 | SH |  | SOLE |  | 24 | 0 | 0 |
| Blackstone Inc. | COM | 09260D107 |  | 3561 | 48 | SH |  | SOLE |  | 48 | 0 | 0 |
| Boulder Growth  Income Fund Inc | COM | 101507101 |  | 5355623 | 421703 | SH |  | SOLE |  | 421703 | 0 | 0 |
| BP p.l.c. | Spondored ADR | 055622104 |  | 3807 | 109 | SH |  | SOLE |  | 109 | 0 | 0 |
| Bright Horizons Fam Sol In D | COM | 109194100 |  | 2398 | 38 | SH |  | SOLE |  | 38 | 0 | 0 |
| Bristol-Myers Squibb Co | COM | 110122108 |  | 122315 | 1700 | SH |  | SOLE |  | 1700 | 0 | 0 |
| British American Tobacco PLC | SPONSORED ADR | 110448107 |  | 5317 | 133 | SH |  | SOLE |  | 133 | 0 | 0 |
| Broadcom Inc. | COM | 11135F101 |  | 25720 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| Bunge Limited | COM | G16962105 |  | 4390 | 44 | SH |  | SOLE |  | 44 | 0 | 0 |
| Canadian National Railway Company | COM | 136375102 |  | 34713 | 292 | SH |  | SOLE |  | 292 | 0 | 0 |
| Canadian Pac Ry Ltd | COM | 13645T100 |  | 5296 | 71 | SH |  | SOLE |  | 71 | 0 | 0 |
| Carrier Global Corporation | COM | 14448C104 |  | 5858 | 142 | SH |  | SOLE |  | 142 | 0 | 0 |
| Caterpillar Inc. | COM | 149123101 |  | 6947 | 29 | SH |  | SOLE |  | 29 | 0 | 0 |
| Cemex SAB de CV | SPON ADR NEW | 151290889 |  | 630362 | 155645 | SH |  | SOLE |  | 155645 | 0 | 0 |
| Cenovus Energy Inc | COM | 15135U109 |  | 5901 | 304 | SH |  | SOLE |  | 304 | 0 | 0 |
| Center Coast Brkfld MLP Enrg | SHS BEN INT | 151461209 |  | 244444 | 14089 | SH |  | SOLE |  | 14089 | 0 | 0 |
| Central Securities Corp | COM | 155123102 |  | 3341831 | 100088 | SH |  | SOLE |  | 100088 | 0 | 0 |
| Chargepoint Holdings Inc. | COM CL A | 15961R105 |  | 4241 | 445 | SH |  | SOLE |  | 445 | 0 | 0 |
| Charles Riv Labs Intl Inc | COM | 159864107 |  | 5012 | 23 | SH |  | SOLE |  | 23 | 0 | 0 |
| Chemed Corp New | COM | 16359R103 |  | 3063 | 6 | SH |  | SOLE |  | 6 | 0 | 0 |
| Chevron Corp. | COM | 166764100 |  | 17949 | 100 | SH |  | SOLE |  | 100 | 0 | 0 |
| Chubb Ltd | COM | H1467J104 |  | 9927 | 45 | SH |  | SOLE |  | 45 | 0 | 0 |
| Chungwa Telecom Co Ltd | SPON ADR | 17133Q502 |  | 3659 | 100 | SH |  | SOLE |  | 100 | 0 | 0 |
| Cisco Systems Inc. | COM | 17275R102 |  | 7670 | 161 | SH |  | SOLE |  | 161 | 0 | 0 |
| Clearbridge Energy Midstrm O | COM | 18469P209 |  | 2270154 | 79376 | SH |  | SOLE |  | 79376 | 0 | 0 |
| Clearbridge MLP And Midstrm | COM | 184692200 |  | 4338101 | 130039 | SH |  | SOLE |  | 130039 | 0 | 0 |
| Clearbridge MLP and Midstrm | COM | 18469Q207 |  | 2523380 | 89260 | SH |  | SOLE |  | 89260 | 0 | 0 |
| CME Group Inc. | COM | 12572Q105 |  | 5045 | 30 | SH |  | SOLE |  | 30 | 0 | 0 |
| Cohen  Steers Limited Duration Preferred and Income Fund Inc. | COM | 19248C105 |  | 2010966 | 105729 | SH |  | SOLE |  | 105729 | 0 | 0 |
| Columbia Seligman Premium Technology Growth Fund | COM | 19842X109 |  | 123862 | 5332 | SH |  | SOLE |  | 5332 | 0 | 0 |
| ConocoPhillips | COM | 20825C104 |  | 5074 | 43 | SH |  | SOLE |  | 43 | 0 | 0 |
| Consolidated Water Co Ltd | ORD | G23773107 |  | 90162 | 6092 | SH |  | SOLE |  | 6092 | 0 | 0 |
| Cooper Cos Inc. | COM | 216648402 |  | 5621 | 17 | SH |  | SOLE |  | 17 | 0 | 0 |
| Copa Holdings SA | CL A | P31076105 |  | 1268343 | 15250 | SH |  | SOLE |  | 15250 | 0 | 0 |
| Copart Inc. | COM | 217204106 |  | 4567 | 75 | SH |  | SOLE |  | 75 | 0 | 0 |
| Cornerstone Strategic Value Fund Inc | COM | 21924B302 |  | 8097321 | 1098687 | SH |  | SOLE |  | 1098687 | 0 | 0 |
| Cornerstone Total Rtrn Fd In | COM | 21924U300 |  | 3834747 | 540105 | SH |  | SOLE |  | 540105 | 0 | 0 |
| Corning Inc. | COM | 219350105 |  | 5781 | 181 | SH |  | SOLE |  | 181 | 0 | 0 |
| Costco Wholesale Corp. | COM | 22160K105 |  | 6391 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| Credicorp Ltd | COM | G2519Y108 |  | 2578 | 19 | SH |  | SOLE |  | 19 | 0 | 0 |
| CRISPR Therapeutics AG | NAMEN AKT | H17182108 |  | 25406 | 625 | SH |  | SOLE |  | 625 | 0 | 0 |
| Crown Castle Intl Corp. | COM | 22822V101 |  | 8681 | 64 | SH |  | SOLE |  | 64 | 0 | 0 |
| Cushing MLP  Infrastruct | COM | 231631300 |  | 1542978 | 45963 | SH |  | SOLE |  | 45963 | 0 | 0 |
| Danaher Corp. | COM | 235851102 |  | 3716 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| Destra Multi-Alternative Fd | COM | 25065A502 |  | 526668 | 77111 | SH |  | SOLE |  | 77111 | 0 | 0 |
| Dolby Laboratories Inc | CL A | 25659T107 |  | 3739 | 53 | SH |  | SOLE |  | 53 | 0 | 0 |
| Eaton Corp. plc (Ireland) | SHS | G29183103 |  | 8946 | 57 | SH |  | SOLE |  | 57 | 0 | 0 |
| Eli Lilly  Co | COM | 532457108 |  | 242552 | 663 | SH |  | SOLE |  | 663 | 0 | 0 |
| Empire State Realty Trust Inc | CL A | 292104106 |  | 498046 | 73894 | SH |  | SOLE |  | 73894 | 0 | 0 |
| Equifax Inc. | COM | 294429105 |  | 7386 | 38 | SH |  | SOLE |  | 38 | 0 | 0 |
| Equinix Inc | COM PAR $0.001 | 29444U700 |  | 32096 | 49 | SH |  | SOLE |  | 49 | 0 | 0 |
| Eversource Energy | COM | 30040W108 |  | 4360 | 52 | SH |  | SOLE |  | 52 | 0 | 0 |
| EVERTEC Inc | COM | 30040P103 |  | 549035 | 16956 | SH |  | SOLE |  | 16956 | 0 | 0 |
| Exchange Listed FDS Tr | SABA INT RATE | 30151E806 |  | 272270 | 15778 | SH |  | SOLE |  | 15778 | 0 | 0 |
| Exponent Inc | COM | 30214U102 |  | 4558 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| Fabrinet | SHS | G3323L100 |  | 1795 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| Fair Isaac Corp | COM | 303250104 |  | 2993 | 5 | SH |  | SOLE |  | 5 | 0 | 0 |
| Fidelity Natl Information Sv | COM | 31620M106 |  | 4071 | 60 | SH |  | SOLE |  | 60 | 0 | 0 |
| First BanCorp/Puerto Rico | COM NEW | 318672706 |  | 2042883 | 160604 | SH |  | SOLE |  | 160604 | 0 | 0 |
| First Trust Aberdeen Global Opportunity Income Fund | COM SHS | 337319107 |  | 799146 | 133191 | SH |  | SOLE |  | 133191 | 0 | 0 |
| Fomento Economico Mexicano SAB de CV | SPON ADR UNITS | 344419106 |  | 1024153 | 13110 | SH |  | SOLE |  | 13110 | 0 | 0 |
| Forge Global Holdings Inc. | COM | 34629L103 |  | 1730 | 1000 | SH |  | SOLE |  | 1000 | 0 | 0 |
| Gabelli Equity Trust Inc | COM | 362397101 |  | 41237 | 7525 | SH |  | SOLE |  | 7525 | 0 | 0 |
| Gabelli Global Small  Mid C | COM | 36249W104 |  | 6250 | 557 | SH |  | SOLE |  | 557 | 0 | 0 |
| General American Investors Co Inc | COM | 368802104 |  | 2474115 | 68440 | SH |  | SOLE |  | 68440 | 0 | 0 |
| Globus Med Inc | CL A | 379577208 |  | 4753 | 64 | SH |  | SOLE |  | 64 | 0 | 0 |
| GoDaddy Inc. | CL A | 380237107 |  | 3292 | 44 | SH |  | SOLE |  | 44 | 0 | 0 |
| Goldman Sachs ETF TR | Activebeta Int | 381430107 |  | 123812 | 4302 | SH |  | SOLE |  | 4302 | 0 | 0 |
| Goldman Sachs Group Inc. (The) | COM | 38141G104 |  | 2747 | 8 | SH |  | SOLE |  | 8 | 0 | 0 |
| Goldman Sachs MLP Energy Ren | COM | 38148G206 |  | 1412471 | 110522 | SH |  | SOLE |  | 110522 | 0 | 0 |
| Grupo Aeroportuario del Sureste SAB de CV | SPON ADR SER B | 40051E202 |  | 1205723 | 5175 | SH |  | SOLE |  | 5175 | 0 | 0 |
| GXO Logistics Incorporated | COMMON STOCK | 36262G101 |  | 20320 | 476 | SH |  | SOLE |  | 476 | 0 | 0 |
| H World Group Ltd | Sponsored ADS | 44332N106 |  | 1909 | 45 | SH |  | SOLE |  | 45 | 0 | 0 |
| HDFC Bank Ltd | Sponsored ADS | 40415F101 |  | 8414 | 123 | SH |  | SOLE |  | 123 | 0 | 0 |
| Henry Jack  Assoc Inc | COM | 426281101 |  | 3160 | 18 | SH |  | SOLE |  | 18 | 0 | 0 |
| Highland Floating Rate Opportunities Fund | SHS BEN INT | 43010E404 |  | 25348114 | 2460982 | SH |  | SOLE |  | 2460982 | 0 | 0 |
| Hilton Inc | COM | 43300A203 |  | 1895 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| ICICI Bank Ltd | ADR | 45104G104 |  | 16571 | 757 | SH |  | SOLE |  | 757 | 0 | 0 |
| IDEXX Labs Inc. | COM | 45168D104 |  | 3672 | 9 | SH |  | SOLE |  | 9 | 0 | 0 |
| Illinois Tool Works Inc. | COM | 452308109 |  | 6609 | 30 | SH |  | SOLE |  | 30 | 0 | 0 |
| Incyte Corp | COM | 45337C102 |  | 19437 | 242 | SH |  | SOLE |  | 242 | 0 | 0 |
| Infosys Ltd | Sponsored ADS | 456788108 |  | 1603 | 89 | SH |  | SOLE |  | 89 | 0 | 0 |
| Insulet Corp. | COM | 45784P101 |  | 4416 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| Interactive Brokers Group In | COM CL A | 45841N107 |  | 4341 | 60 | SH |  | SOLE |  | 60 | 0 | 0 |
| Intuitive Surgical Inc. | COM | 46120E602 |  | 8226 | 31 | SH |  | SOLE |  | 31 | 0 | 0 |
| Invesco CurrencyShares British Pound Sterling Trust | Brit Poun Strl | 46138M109 |  | 113004 | 973 | SH |  | SOLE |  | 973 | 0 | 0 |
| Invesco CurrencyShares Euro Currency Trust | Euro SHS | 46138K103 |  | 111249 | 1126 | SH |  | SOLE |  | 1126 | 0 | 0 |
| Invesco Exch Traded Fd Tr II | VRDO TAX FREE | 46138G862 |  | 19233 | 771 | SH |  | SOLE |  | 771 | 0 | 0 |
| Invesco QQQ Tr | UNIT SER 1 | 46090E103 |  | 71896 | 270 | SH |  | SOLE |  | 270 | 0 | 0 |
| Investco CurrencyShares Japan | Japanese Yen | 46138W107 |  | 261648 | 3680 | SH |  | SOLE |  | 3680 | 0 | 0 |
| iShares Nasdaq Biotechnology ETF | NASDAQ BIOTECH | 464287556 |  | 374177 | 2850 | SH |  | SOLE |  | 2850 | 0 | 0 |
| Ishares Tr | MSCI Saudi Arabia | 46434V423 |  | 6299 | 167 | SH |  | SOLE |  | 167 | 0 | 0 |
| Ishares Tr 13 Yr | 1 3 YR TREAS BD | 464287457 |  | 607233 | 7481 | SH |  | SOLE |  | 7481 | 0 | 0 |
| iShares U.S. Medical Devices ETF | U.S. MED DVC ETF | 464288810 |  | 939689 | 17875 | SH |  | SOLE |  | 17875 | 0 | 0 |
| Itau Unibanco Holding S.A. | SPON ADR REP PFD | 465562106 |  | 1418 | 301 | SH |  | SOLE |  | 301 | 0 | 0 |
| Japan Smaller Capitalization Fund Inc | COM | 47109U104 |  | 4555 | 703 | SH |  | SOLE |  | 703 | 0 | 0 |
| JD.Com Inc | Spon ADR CL A | 47215P106 |  | 4210 | 75 | SH |  | SOLE |  | 75 | 0 | 0 |
| JinkoSolar Holdings Co. Ltd | Sponsored ADS | 47759T100 |  | 1594 | 39 | SH |  | SOLE |  | 39 | 0 | 0 |
| JPMorgan Chase  Co | COM | 46625H100 |  | 11264 | 84 | SH |  | SOLE |  | 84 | 0 | 0 |
| Keurig Dr. Pepper Inc. | COM | 49271V100 |  | 7453 | 209 | SH |  | SOLE |  | 209 | 0 | 0 |
| Kinder Morgan Inc. | COM | 49456B101 |  | 2676 | 148 | SH |  | SOLE |  | 148 | 0 | 0 |
| LCI Inds | COM | 50189K103 |  | 1109 | 12 | SH |  | SOLE |  | 12 | 0 | 0 |
| Lennar Corp | CL A | 526057104 |  | 1131250 | 12500 | SH |  | SOLE |  | 12500 | 0 | 0 |
| Lennox Intl Inc | COM | 526107107 |  | 3349 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| Liberty All Star Equity Fund | SH BEN INT | 530158104 |  | 34136 | 5989 | SH |  | SOLE |  | 5989 | 0 | 0 |
| Liberty All Star Growth Fund Inc | COM | 529900102 |  | 34665 | 7031 | SH |  | SOLE |  | 7031 | 0 | 0 |
| Linde plc | SHS | G5494J103 |  | 4893 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| LivaNova PLC | SHS | G5509L101 |  | 462648 | 8330 | SH |  | SOLE |  | 8330 | 0 | 0 |
| Lockheed Martin Corp. | COM | 539830109 |  | 10216 | 21 | SH |  | SOLE |  | 21 | 0 | 0 |
| LPL Finl Hldgs Inc | COM | 50212V100 |  | 5188 | 24 | SH |  | SOLE |  | 24 | 0 | 0 |
| MakeMyTrip Limited Mauritius | SHS | V5633W109 |  | 1792 | 65 | SH |  | SOLE |  | 65 | 0 | 0 |
| Marriott Vacations Worldwide Corp | COM | 57164Y107 |  | 907810 | 6745 | SH |  | SOLE |  | 6745 | 0 | 0 |
| Marsh  McLennan Companies Inc. | COM | 571748102 |  | 11253 | 68 | SH |  | SOLE |  | 68 | 0 | 0 |
| Martin Marietta Materials Inc | COM | 573284106 |  | 1351880 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| MasTec Inc | COM | 576323109 |  | 2548636 | 29868 | SH |  | SOLE |  | 29868 | 0 | 0 |
| MasterCard Inc. | CL A | 57636Q104 |  | 5216 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| Matterport Inc | CL A | 577096100 |  | 2047 | 731 | SH |  | SOLE |  | 731 | 0 | 0 |
| McDonald's Corp | COM | 580135101 |  | 11068 | 42 | SH |  | SOLE |  | 42 | 0 | 0 |
| Medtronic plc | SHS | G5960L103 |  | 22927 | 295 | SH |  | SOLE |  | 295 | 0 | 0 |
| Merck  Co Inc | COM | 58933Y105 |  | 313989 | 2830 | SH |  | SOLE |  | 2830 | 0 | 0 |
| Meta Platforms Inc | CL A | 30303M102 |  | 21180 | 176 | SH |  | SOLE |  | 176 | 0 | 0 |
| Micron Technology Inc | COM | 595112103 |  | 2949 | 59 | SH |  | SOLE |  | 59 | 0 | 0 |
| Microsoft Corp | COM | 594918104 |  | 36453 | 152 | SH |  | SOLE |  | 152 | 0 | 0 |
| Mondelez International Inc. | CL A | 609207105 |  | 15063 | 226 | SH |  | SOLE |  | 226 | 0 | 0 |
| Moody's Corp. | COM | 615369105 |  | 4179 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| Morgan Stanley China A Sh Fd | COM | 617468103 |  | 4501 | 317 | SH |  | SOLE |  | 317 | 0 | 0 |
| Morgan Stanley India Investment Fund Inc | COM | 61745C105 |  | 6415 | 316 | SH |  | SOLE |  | 316 | 0 | 0 |
| Netease Inc | Sponsored ADS | 64110W102 |  | 2542 | 35 | SH |  | SOLE |  | 35 | 0 | 0 |
| Netflix Inc. | COM | 64110L106 |  | 35975 | 122 | SH |  | SOLE |  | 122 | 0 | 0 |
| Neuberger Brman Next Genera | COMMON STOCK | 64133Q108 |  | 2570083 | 282582 | SH |  | SOLE |  | 282582 | 0 | 0 |
| New Fortress Energy Inc | CL A | 644393100 |  | 2697997 | 63602 | SH |  | SOLE |  | 63602 | 0 | 0 |
| Nexpoint Diversified Rel Et | COM | 65340G205 |  | 13591121 | 1212410 | SH |  | SOLE |  | 1212410 | 0 | 0 |
| NextEra Energy Inc | COM | 65339F101 |  | 1674090 | 20025 | SH |  | SOLE |  | 20025 | 0 | 0 |
| Nike Inc. | CL B | 654106103 |  | 6904 | 59 | SH |  | SOLE |  | 59 | 0 | 0 |
| Nordson Corp | COM | 655663102 |  | 5705 | 24 | SH |  | SOLE |  | 24 | 0 | 0 |
| Norwegian Cruise Line Holdings Ltd | SHS | G66721104 |  | 1426915 | 116578 | SH |  | SOLE |  | 116578 | 0 | 0 |
| Novartis AG | SPONSORED ADR | 66987V109 |  | 108864 | 1200 | SH |  | SOLE |  | 1200 | 0 | 0 |
| Novo Nordisk A/S ADR | ADR | 670100205 |  | 74843 | 553 | SH |  | SOLE |  | 553 | 0 | 0 |
| Novocure Ltd | ORD SHS | G6674U108 |  | 1614 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| Nuveen Amt- Free Mun Value Fd | COM | 670695105 |  | 11133 | 818 | SH |  | SOLE |  | 818 | 0 | 0 |
| Nuveen California Municipal Value Fund | COM STK | 67062C107 |  | 13182 | 1560 | SH |  | SOLE |  | 1560 | 0 | 0 |
| Nuveen Core Equity Alpha Fund | COM | 67090X107 |  | 50049 | 3696 | SH |  | SOLE |  | 3696 | 0 | 0 |
| Nuveen Mortgage and Income Fund | COM | 670735109 |  | 2880396 | 178022 | SH |  | SOLE |  | 178022 | 0 | 0 |
| Nuveen Mun Value Fd Inc. | COM | 670928100 |  | 9202 | 1070 | SH |  | SOLE |  | 1070 | 0 | 0 |
| Nuveen Mutli Asset Income Fund | COM | 670750108 |  | 2531201 | 220296 | SH |  | SOLE |  | 220296 | 0 | 0 |
| Nuveen NASDAQ 100 Dynamic Overwrite Fund | COM SHS | 670699107 |  | 44132 | 2160 | SH |  | SOLE |  | 2160 | 0 | 0 |
| Nuveen NY Muni Value Fund | COM | 67062M105 |  | 8095 | 980 | SH |  | SOLE |  | 980 | 0 | 0 |
| Nuveen NY Select Tax-Free Income Portfolio | SH BEN INT | 67063V104 |  | 9156 | 790 | SH |  | SOLE |  | 790 | 0 | 0 |
| Nuveen Real Asset Income and Growth Fund | COM | 67074Y105 |  | 2553993 | 218290 | SH |  | SOLE |  | 218290 | 0 | 0 |
| Nuveen Select Maturities Municipal Fund | SH BEN INT | 67061T101 |  | 10147 | 1120 | SH |  | SOLE |  | 1120 | 0 | 0 |
| Nuveen Short Duration Cr Opp | COM | 67074X107 |  | 3475680 | 293059 | SH |  | SOLE |  | 293059 | 0 | 0 |
| NXG NextGen Intrastruacture Inc Fund | COM | 231647207 |  | 139877 | 3655 | SH |  | SOLE |  | 3655 | 0 | 0 |
| ON Semiconductor Corporation | COM | 682189105 |  | 5114 | 82 | SH |  | SOLE |  | 82 | 0 | 0 |
| Oppfi Inc Com | CL A | 68386H103 |  | 12091 | 5898 | SH |  | SOLE |  | 5898 | 0 | 0 |
| Oxford Lane Cap Corp | COM | 691543102 |  | 13404664 | 2643918 | SH |  | SOLE |  | 2643918 | 0 | 0 |
| Pagseguro Digital Ltd | COM CL A | G68707101 |  | 1346 | 154 | SH |  | SOLE |  | 154 | 0 | 0 |
| Paychex Inc | COM | 704326107 |  | 6471 | 56 | SH |  | SOLE |  | 56 | 0 | 0 |
| PepsiCo Inc. | COM | 713448108 |  | 16801 | 93 | SH |  | SOLE |  | 93 | 0 | 0 |
| Petroleo Brasileiro S.A. PETROBRAS | Sponsored ADR | 71654V408 |  | 2045 | 192 | SH |  | SOLE |  | 192 | 0 | 0 |
| Pfizer Inc | COM | 717081103 |  | 5585 | 109 | SH |  | SOLE |  | 109 | 0 | 0 |
| PGIM Global Short Duration High Yield Fund Inc. | COM | 69346J106 |  | 11187 | 1032 | SH |  | SOLE |  | 1032 | 0 | 0 |
| PGT Innovations Inc | COM | 69336V101 |  | 1259301 | 70117 | SH |  | SOLE |  | 70117 | 0 | 0 |
| Philip Morris International Inc. | COM | 718172109 |  | 7287 | 72 | SH |  | SOLE |  | 72 | 0 | 0 |
| Phillips 66 | COM | 718546104 |  | 3955 | 38 | SH |  | SOLE |  | 38 | 0 | 0 |
| PIMCO Enhanced Short Maturity Active Exchange-Traded Fund | ENHAN SHRT MA AC | 72201R833 |  | 353858 | 3587 | SH |  | SOLE |  | 3587 | 0 | 0 |
| PIMCO Enrgy Tactical Cr Opp | COM SHS BEN INT | 69346N107 |  | 11709942 | 783798 | SH |  | SOLE |  | 783798 | 0 | 0 |
| PIMCO Global StocksPLS Inc. | COM | 722011103 |  | 2476789 | 357401 | SH |  | SOLE |  | 357401 | 0 | 0 |
| Pinduoduo Inc. | Sponsored ADS | 722304102 |  | 1223 | 15 | SH |  | SOLE |  | 15 | 0 | 0 |
| Playa Hotels  Resorts Nv | SHS | N70544106 |  | 513291 | 78605 | SH |  | SOLE |  | 78605 | 0 | 0 |
| Pool Corp | COM | 73278L105 |  | 5744 | 19 | SH |  | SOLE |  | 19 | 0 | 0 |
| Popular Inc | COM NEW | 733174700 |  | 1717622 | 25899 | SH |  | SOLE |  | 25899 | 0 | 0 |
| Procter  Gamble Co. (The) | COM | 742718109 |  | 15611 | 103 | SH |  | SOLE |  | 103 | 0 | 0 |
| ProLogis Inc. | COM | 74340W103 |  | 9582 | 85 | SH |  | SOLE |  | 85 | 0 | 0 |
| ProShares Short VIX Short-Term Futures ETF | SHT VIX ST TRM | 74347W130 |  | 6455 | 110 | SH |  | SOLE |  | 110 | 0 | 0 |
| ProShares TR | Shrt High Yield | 74347R131 |  | 9231321 | 485859 | SH |  | SOLE |  | 485859 | 0 | 0 |
| ProShares Tr. | PSHS ULTSH 20YRS | 74347B201 |  | 66593 | 2049 | SH |  | SOLE |  | 2049 | 0 | 0 |
| Prudential PLC | ADR | 74435K204 |  | 37125 | 1351 | SH |  | SOLE |  | 1351 | 0 | 0 |
| Purecycle Technologies Inc | W Exp 01/28/202 | 74623V111 |  | 7076 | 2457 | SH |  | SOLE |  | 2457 | 0 | 0 |
| Qualcomm Inc | COM | 747525103 |  | 7696 | 70 | SH |  | SOLE |  | 70 | 0 | 0 |
| Raytheon Technologies Corp. | COM | 75513E101 |  | 2321 | 23 | SH |  | SOLE |  | 23 | 0 | 0 |
| Realty Income Corp. | COM | 756109104 |  | 9895 | 156 | SH |  | SOLE |  | 156 | 0 | 0 |
| Regeneron Pharmaceuticals Inc. | COM | 75886F107 |  | 5772 | 8 | SH |  | SOLE |  | 8 | 0 | 0 |
| Restaurant Brands International Inc | COM | 76131D103 |  | 4398 | 68 | SH |  | SOLE |  | 68 | 0 | 0 |
| Rice Acquisition Corp | *W EXP 99/99/999 | G75529126 |  | 37178 | 29742 | SH |  | SOLE |  | 29742 | 0 | 0 |
| Rivernorth Flexible Mun Income Fund II Inc. | COM | 76883Y107 |  | 10148 | 750 | SH |  | SOLE |  | 750 | 0 | 0 |
| Rollins Inc | COM | 775711104 |  | 2850 | 78 | SH |  | SOLE |  | 78 | 0 | 0 |
| Royal Caribbean Cruises Ltd | COM | V7780T103 |  | 1380382 | 27926 | SH |  | SOLE |  | 27926 | 0 | 0 |
| Royce Value Trust Inc | COM | 780910105 |  | 46367 | 3497 | SH |  | SOLE |  | 3497 | 0 | 0 |
| Ryanair Holdings plc ADR | SPONSORED ADS | 783513203 |  | 2168 | 29 | SH |  | SOLE |  | 29 | 0 | 0 |
| Saba Capital Income  Opportunities Fund | COM | 78518H202 |  | 14806435 | 1945655 | SH |  | SOLE |  | 1945655 | 0 | 0 |
| SAP SE | Spon ADR | 803054204 |  | 3715 | 36 | SH |  | SOLE |  | 36 | 0 | 0 |
| Schlumberger Ltd | COM | 806857108 |  | 6576 | 123 | SH |  | SOLE |  | 123 | 0 | 0 |
| Scotts Miracle-Gro Co | CL A | 810186106 |  | 2332 | 48 | SH |  | SOLE |  | 48 | 0 | 0 |
| Seaboard Corp | COM | 811543107 |  | 517204 | 137 | SH |  | SOLE |  | 137 | 0 | 0 |
| Seattle Genetics In | COM | 81181C104 |  | 2827 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| Sempra Energy | COM | 816851109 |  | 9891 | 64 | SH |  | SOLE |  | 64 | 0 | 0 |
| ServiceNow Inc. | COM | 81762P102 |  | 3106 | 8 | SH |  | SOLE |  | 8 | 0 | 0 |
| Sherwin-Williams Co. (The) | COM | 824348106 |  | 3323 | 14 | SH |  | SOLE |  | 14 | 0 | 0 |
| Shinhan Financial Group Co L | SPN ADR RESTRD | 824596100 |  | 3687 | 132 | SH |  | SOLE |  | 132 | 0 | 0 |
| Siteone Landsscape Supply Inc | COM | 82982L103 |  | 4341 | 37 | SH |  | SOLE |  | 37 | 0 | 0 |
| SK Telecom Ltd | Sponsored ADR | 78440P306 |  | 3089 | 150 | SH |  | SOLE |  | 150 | 0 | 0 |
| Sony Corp | Sponsored ADR | 835699307 |  | 93290 | 1223 | SH |  | SOLE |  | 1223 | 0 | 0 |
| SPDR Gold Tr | GOLD SHS | 78463V107 |  | 237157 | 1398 | SH |  | SOLE |  | 1398 | 0 | 0 |
| SPDR S 500 ETF Tr | TR UNIT | 78462F103 |  | 149148 | 390 | SH |  | SOLE |  | 390 | 0 | 0 |
| SPDR S MidCap 400 ETF Tr | UTSER1 S | 78467Y107 |  | 66419 | 150 | SH |  | SOLE |  | 150 | 0 | 0 |
| SPDR Ser Tr | SPDR BLOOMBERG | 78468R663 |  | 998761 | 10919 | SH |  | SOLE |  | 10919 | 0 | 0 |
| Sprott Physical Gold and Silver Trust | TR UNIT | 85208R101 |  | 143440 | 8000 | SH |  | SOLE |  | 8000 | 0 | 0 |
| Starbucks Corp. | COM | 855244109 |  | 14483 | 146 | SH |  | SOLE |  | 146 | 0 | 0 |
| Suncor Energy Inc. | COM | 867224107 |  | 38044 | 1199 | SH |  | SOLE |  | 1199 | 0 | 0 |
| Sutter Rock Cap Corp | COM | 86887Q109 |  | 2074519 | 545926 | SH |  | SOLE |  | 545926 | 0 | 0 |
| Suzano Papel e Celulose S.A. | Spon ADS | 86959K105 |  | 1478 | 160 | SH |  | SOLE |  | 160 | 0 | 0 |
| Taiwan Semiconductor Manufacturing Company Limited | SPONSORED ADR | 874039100 |  | 27338 | 367 | SH |  | SOLE |  | 367 | 0 | 0 |
| Takeda Pharmaceutical Co Ltd | SPONSORED ADR | 874060205 |  | 62400 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| Tc Energy Corp | COM | 87807B107 |  | 2232 | 56 | SH |  | SOLE |  | 56 | 0 | 0 |
| TCW Strategic Income Fund Inc | COM | 872340104 |  | 9240 | 2000 | SH |  | SOLE |  | 2000 | 0 | 0 |
| Teledyne Technologies Inc. | COM | 879360105 |  | 3599 | 9 | SH |  | SOLE |  | 9 | 0 | 0 |
| Templeton Emerging Markets Fund | COM | 880191101 |  | 6841 | 599 | SH |  | SOLE |  | 599 | 0 | 0 |
| Teradyne Inc | COM | 880770102 |  | 4280 | 49 | SH |  | SOLE |  | 49 | 0 | 0 |
| Tesla Inc | COM | 88160R101 |  | 10101 | 82 | SH |  | SOLE |  | 82 | 0 | 0 |
| Texas Instruments Inc | COM | 882508104 |  | 11565 | 70 | SH |  | SOLE |  | 70 | 0 | 0 |
| The European Equity Fund Inc | COM | 298768102 |  | 5385 | 718 | SH |  | SOLE |  | 718 | 0 | 0 |
| The Gabelli Dividend  Income Trust | COM | 36242H104 |  | 2615478 | 126903 | SH |  | SOLE |  | 126903 | 0 | 0 |
| The Gabelli Healthcare  Wellness Trust | SHS | 36246K103 |  | 2451328 | 238456 | SH |  | SOLE |  | 238456 | 0 | 0 |
| The GDL Fund | COM SH BEN IT | 361570104 |  | 40852 | 5211 | SH |  | SOLE |  | 5211 | 0 | 0 |
| The Herzfeld Caribbean Basin Fund Inc | COM | 42804T106 |  | 1854855 | 504037 | SH |  | SOLE |  | 504037 | 0 | 0 |
| The Home Depot Inc | COM | 437076102 |  | 18636 | 59 | SH |  | SOLE |  | 59 | 0 | 0 |
| The India Fund Inc | COM | 454089103 |  | 6413 | 433 | SH |  | SOLE |  | 433 | 0 | 0 |
| The Korea Fund Inc | COM NEW | 500634209 |  | 5999 | 288 | SH |  | SOLE |  | 288 | 0 | 0 |
| The Mexico Fund Inc. | COM | 592835102 |  | 13340 | 905 | SH |  | SOLE |  | 905 | 0 | 0 |
| The New Germany Fund Inc | COM | 644465106 |  | 13441 | 1703 | SH |  | SOLE |  | 1703 | 0 | 0 |
| The New Ireland Fund Inc | COM | 645673104 |  | 12398 | 1326 | SH |  | SOLE |  | 1326 | 0 | 0 |
| The PNC Financial Services Group Inc | COM | 693475105 |  | 13741 | 87 | SH |  | SOLE |  | 87 | 0 | 0 |
| The Taiwan Fund Inc | COM | 874036106 |  | 12861 | 557 | SH |  | SOLE |  | 557 | 0 | 0 |
| Thermo Fisher Scientific Inc. | COM | 883556102 |  | 71590 | 130 | SH |  | SOLE |  | 130 | 0 | 0 |
| Thor Inds Inc | COM | 885160101 |  | 2869 | 38 | SH |  | SOLE |  | 38 | 0 | 0 |
| Thornburg Incm Builder Opp Tr | COM | 885213108 |  | 2273405 | 159202 | SH |  | SOLE |  | 159202 | 0 | 0 |
| TMC The Metals Company Inc | COM | 87261Y106 |  | 6898 | 8959 | SH |  | SOLE |  | 8959 | 0 | 0 |
| Tortoise Energy Independence | COM | 89148K200 |  | 5566372 | 191004 | SH |  | SOLE |  | 191004 | 0 | 0 |
| Tortoise Pwr  Energy Infras | COM | 89147X104 |  | 2490829 | 195206 | SH |  | SOLE |  | 195206 | 0 | 0 |
| Totalenergies SE | SPONSORED ADS | 89151E109 |  | 4966 | 80 | SH |  | SOLE |  | 80 | 0 | 0 |
| Tri-Continental Corp | COM | 895436103 |  | 33590 | 1311 | SH |  | SOLE |  | 1311 | 0 | 0 |
| Trimble Inc. | COM | 896239100 |  | 2528 | 50 | SH |  | SOLE |  | 50 | 0 | 0 |
| Trinity Cap Inc. | COM | 896442308 |  | 86533 | 7917 | SH |  | SOLE |  | 7917 | 0 | 0 |
| Trip.com Group Ltd ADR | ADS | 89677Q107 |  | 3543 | 103 | SH |  | SOLE |  | 103 | 0 | 0 |
| Truist Financial Corp | COM | 89832Q109 |  | 12522 | 291 | SH |  | SOLE |  | 291 | 0 | 0 |
| U.S. Bancorp | COM | 902973304 |  | 8984 | 206 | SH |  | SOLE |  | 206 | 0 | 0 |
| United Parcel Service Inc | CL B | 911312106 |  | 10083 | 58 | SH |  | SOLE |  | 58 | 0 | 0 |
| United States Oil Fund LP | UNITS | 91232N207 |  | 87638 | 1250 | SH |  | SOLE |  | 1250 | 0 | 0 |
| UnitedHealth Group Inc | COM | 91324P102 |  | 103385 | 195 | SH |  | SOLE |  | 195 | 0 | 0 |
| Vale SA | ADR | 91912E105 |  | 10250 | 604 | SH |  | SOLE |  | 604 | 0 | 0 |
| VanEck Vectors Gold Miners ETF | GOLD MINERS ETF | 92189F106 |  | 91125 | 3180 | SH |  | SOLE |  | 3180 | 0 | 0 |
| Vertex Pharmaceuticals Inc. | COM | 92532F100 |  | 6353 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| Vertical Capital Income Fund | SHS BEN INT | 92535C104 |  | 4446446 | 510499 | SH |  | SOLE |  | 510499 | 0 | 0 |
| Virtus Total Return Fund Inc. | COM | 92835W107 |  | 12583 | 1921 | SH |  | SOLE |  | 1921 | 0 | 0 |
| Visa Inc | COM CL A | 92826C839 |  | 4571 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| Vulcan Materials Co | COM | 929160109 |  | 875550 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| Wallbox NV | *W EXP 99/99/999 | N94209116 |  | 1998 | 4552 | SH |  | SOLE |  | 4552 | 0 | 0 |
| Watsco Inc. | COM | 942622200 |  | 3242 | 13 | SH |  | SOLE |  | 13 | 0 | 0 |
| WEC Energy Group Inc. | COM | 92939U106 |  | 5813 | 62 | SH |  | SOLE |  | 62 | 0 | 0 |
| Western Asset Mortgage Opp Fund Inc. | COM | 95790B109 |  | 2769732 | 257171 | SH |  | SOLE |  | 257171 | 0 | 0 |
| Western Asset Mun Hi Incm Fd | COM | 95766N103 |  | 10163 | 1593 | SH |  | SOLE |  | 1593 | 0 | 0 |
| Western Asset/Claymore Inflation-Linked Opportunities  Income Fund | COM | 95766R104 |  | 51893 | 5684 | SH |  | SOLE |  | 5684 | 0 | 0 |
| Western Asset/Claymore Inflation-Linked Securities  Income Fund | COM SH BEN INT | 95766Q106 |  | 230027 | 26716 | SH |  | SOLE |  | 26716 | 0 | 0 |
| Williams Cos Inc. | COM | 969457100 |  | 5330 | 162 | SH |  | SOLE |  | 162 | 0 | 0 |
| Wisdomtree Tr | Floating Rat Trea | 97717Y527 |  | 7754248 | 154252 | SH |  | SOLE |  | 154252 | 0 | 0 |
| Wolfspeed Inc. | COM | 977852102 |  | 1450 | 21 | SH |  | SOLE |  | 21 | 0 | 0 |
| Yum China Hldgs Inc | COM | 98850P109 |  | 3989 | 73 | SH |  | SOLE |  | 73 | 0 | 0 |
| Zebra Technologies Corp | CL A | 989207105 |  | 4359 | 17 | SH |  | SOLE |  | 17 | 0 | 0 |
| Zoetis Inc. | CL A | 98978V103 |  | 5422 | 37 | SH |  | SOLE |  | 37 | 0 | 0 |

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