CIK 1509510
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| HERZFELD, THOMAS, JAY | CHAIRMAN AND SOLE DIRECTOR | 1984-02 | 75%+ ·◆ |
| HERZFELD, ERIK, MERVIN | PRESIDENT, SECRETARY, TREASURER | 2008-10 | <5% ·◆ |
| MORGAN, THOMAS, KENNETH | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 2018-09 | <5% ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after |
|---|
| Now at (if tracked) |
|---|
| LEE, REANNA, JANE MORAN | CHIEF COMPLIANCE OFFICER | 2018-03 | — not seen at a tracked firm |
| GONDOR, CECILIA, LAURA | EXECUTIVE VICE PRESIDENT | 2014-03 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
