Thomas J. Herzfeld is Chairman of Thomas J. Herzfeld Advisors. Mr. Herzfeld began his career in the securities industry in the 1960's and formed a New York Stock Exchange member firm in 1970, where he was the youngest Managing Partner of a NYSE member firm at the time. Tom is widely considered to be the leading expert in the field of closed-end funds, and was frequently on Wall Street Week with Louis Rukeyser and the Nightly Business Report with Paul Kangas throughout the eighties and nineties. He is the author of the first textbook published on the subject: The Investor's Guide to Closed-End Funds (McGraw-Hill, 1979), as well as five other books dedicated to the industry. TJH was the publisher of the industry's most comprehensive monthly research report for 28 years, and has been interviewed as a leading authority on the subject countless times.

Education

Joined the firm in 2007. Industry start date 1997. Prior to joining the firm, Erik spent a decade in derivatives and FX options trading roles with JP Morgan Chase and Lehman Brothers. He was the Head of JP Morgan FX Derivatives Correlation trading in Tokyo, and Specialized Risk Trading (SRT) group. He built JP Morgan’s PPB Foreign Exchange group and is the creator of The Bloomberg-JP Morgan Asia Currency Index “ADXY” (FX basket). Before that, Erik served as a Quant on the equity derivatives research desk at Lehman Brothers where he had dual responsibilities in pricing exotic derivatives structures and developing quantitative trading strategies for the dispersion trading group on the proprietary side. Erik is proficient in Danish and Japanese.

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Brigitta Herzfeld leads Business Development and Client Relations at the firm. Her career includes experience in the Japanese Equities Division of Lehman Brothers in Tokyo, where she was part of the Japanese Equities Research Sales team covering International clients. She also worked in the Investment Management Division of Goldman Sachs in New York City and Miami. Brigitta currently serves as a member of the MIT Educational Council.

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Joined the firm in 2018. Industry start date 2006. Tom is an attorney with over 35 years of legal and business experience. He began his legal career in Boston focusing on corporate finance, regulatory, and banking matters. Tom's regulatory and legal experience includes acting as chief compliance officer and general counsel for a variety of fund managers in the financial services industry, including hedge funds, private equity funds and commercial real estate funds. He also founded and developed a custom software development company in the financial services industry and was an Executive Vice President – Operations for Viewpoint Corporation, a public company in the graphics technology industry.

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Joined the firm in 2012. Industry start date 2004. Ryan is a portfolio manager for the firm’s separately managed account strategies, private funds, and publicly listed closed-end fund. Ryan is also responsible for trading and analysis of the firm’s strategies. He has been interviews by many financial publications such as Bloomberg, The Wall Street Journal, The Financial Times and more.

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Alex Knapp, CFA, is a Portfolio Manager for the private funds and fixed income business at the firm. He is responsible for sourcing, underwriting, structuring, and closing all of the private transactions at the company. He also manages the firm’s short-duration investment grade fixed income portfolio. Before joining Thomas J. Herzfeld Advisors, Inc., Alex had experience in alternatives and fixed income at Aviva Investors, Ballentine Partners, and Banco Santander. Alex is a published contributor to Bloomberg, has been quoted in the Financial Times, and has spoken at industry conferences across the country. He holds FINRA Series 65 and is a Chartered Financial Analyst charterholder.

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Tim joined Herzfeld in 2023 to manage the firm's marketing and distribution efforts. He brings experience from Wavelength Capital Management, where he developed their marketing and distribution platform. He has also overseen the distribution strategy for alternative mutual funds across the eastern United States at Sincere & Co. Additionally, Tim worked at Wescott, a large RIA based in Philadelphia, after working for several years with an actuarial consulting firm in NYC. Baruch College - City University of New York, B.A., Actuarial Science

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Alice Tham is Head of Operations at the firm. Alice handles daily trade processing, allocations, and confirmations. She also works on regular day-to-day due diligence, client requests and reporting for both retail and institutional clients. Alice joined the firm in 2012, prior to which she worked in the Client Services Group of the Investment Accounts Division at Scottrade/TD Ameritrade. Alice is fluent in Cantonese.

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Kevin Carey-Trickett is Director of Private Fund Operations at the firm. He is responsible for all operational matters relating to the private fund, co-investment vehicles and the firm’s short-duration investment grade fixed income portfolio. He also acts as operational support to the SMA and publicly listed fund department of the firm. Prior to joining Thomas J. Herzfeld Advisors, Inc., Kevin served in various senior fund accounting and credit operational positions with private fund administrators located in the Cayman Islands and Ireland. He is a graduate of Technological University of the Shannon: Midlands Midwest (TUS) (previously: Athlone Institute of Technology), Ireland, a Fellow Member of the Institute of Accounting Technicians Ireland (FIATI), a member of The Chartered Governance Institute of Canada (Acc.Dir.), and a Certified Anti-Money Laundering Specialist (CAMS).

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George joined the firm in 2024 as Deputy CCO, overseeing compliance policy and cybersecurity. He brings extensive experience from compliance consulting firms, including London-based Laven Partners, where he led US compliance services for overseas firms. George conducted global due diligence for a major European bank and possesses expertise in front office systems, IT, ESG, and regulatory compliance. With 15 years in financial services technology at firms like T. Rowe Price and LPL Financial, he also has a background in financial reporting and Sarbanes-Oxley controls from his time at Viewpoint Corporation and Dun & Bradstreet.

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Donna joined the firm in 2024 having over 10 years of experience as a compliance professional at a global compliance consulting firm, supporting compliance operations across a variety of asset management firms. In addition to acting as coordinator for all compliance initiatives within the Compliance Department, Donna directly supports the firm’s compliance monitoring functions including monitoring of electronic communications, personal trading, trade allocation, and other key portfolio management policies.

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Rhowan Ahmed joined the firm in 2025 as a Senior Investment Analyst. She is responsible for trading and analyzing the firm’s investment strategies, including separately managed accounts (SMAs), private funds, and publicly listed closed-end funds. Rhowan has built a diverse background across banking, asset management, and wealth management at J.P. Morgan and BlackRock. At BlackRock, she served as a portfolio manager and trader on the Global Fixed Income team, working on the Securitized Assets desk with a specialization in collateralized loan obligations (CLOs). She is fluent in Arabic.

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Josh joined the firm in July 2025 after completing his graduate degree in finance at New York University. Having previously interned with the Herzfeld Team in 2024 and 2025, as well as with Morgan Stanley in 2022, he works closely with our portfolio managers and investment team, providing analyst and due diligence support across our investment strategies. Josh was a varsity basketball player at St. Anselm’s and at New York University, where he competed in the Division III National Championship Game in 2025.

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Neil joined the firm in July 2025 after completing his graduate degree in finance at the University of Pittsburgh. He was a nationally ranked swimmer at Colby College and served as captain of the 2024–2025 Pitt Swimming Team. At the firm, he works closely with our portfolio managers and investment team, providing analyst and due diligence support across our investment strategies.

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Taylor joined the firm in June 2025 after graduating from the University of Miami’s Herbert Business School. Having completed several marketing internships during college, Taylor currently helps further develop the firm’s marketing and distribution efforts.

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Nellie joined Herzfeld in 2025 as the firm's Office Administrator, bringing strong organizational and administrative skills to the team. She supports daily operations, ensuring efficiency across departments and providing seamless assistance to colleagues and clients. With a detail-oriented approach and a focus on service, Nellie helps keep the firm running smoothly. She is also fluent in Spanish.

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