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THOMAS J. HERZFELD ADVISORS, INC.

MIAMI BEACH, FL · CRD 108369 · IAPD ↗ · herzfeld.com · 305-777-1660

$890.4MRegulatory AUM
6Advisory reps
15Employees
1Clients
n/aPlanning clients
9Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — THOMAS J. HERZFELD ADVISORS, INC. notice-filed in AR, DE, IA, ND, NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2026 — THOMAS J. HERZFELD ADVISORS, INC. grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
January 2025 — THOMAS J. HERZFELD ADVISORS, INC. notice-filed in NH, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — THOMAS J. HERZFELD ADVISORS, INC. notice-filed in AL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.