Whether you found us through reputation or referral, you're here because you want a focused investment partner. Meet the people who make that possible — combining deep expertise with the kind of attention you rarely find at other firms.
Every person here shapes how we think and work. We bring different views, backgrounds, and expertise to the table. The one thing we have in common is this: We all are 100% committed to exceeding our clients' expectations.
Thomas J. Herzfeld, Chairman of Thomas J. Herzfeld Advisors, is a recognized authority in the closed-end fund industry. His career began in the 1960s, where he became the youngest Managing Partner of any New York Stock Exchange member firm at the time. Throughout his long career, Mr. Herzfeld has been a sought-after expert, authoring a series of textbooks on closed-end funds, and frequently appearing on leading financial news programs. He continues to lead our firm, leveraging his decades of experience and deep industry knowledge for the benefit of our clients.
Erik joined the firm in 2007, bringing with him over a decade of experience in derivatives and FX options trading. His expertise was honed at JP Morgan Chase and Lehman Brothers, where he held key roles such as Head of JP Morgan FX Derivatives Correlation Trading in Tokyo. Erik's accomplishments include building JP Morgan's PPB Foreign Exchange group and creating the Bloomberg-JP Morgan Asia Currency Index "ADXY." He also served as a Quant on the equity derivatives research desk at Lehman Brothers, specializing in pricing exotic derivatives and developing quantitative trading strategies. Erik is fluent in Danish and Japanese.
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.
Tom joined the firm in 2018 with over three decades of experience as a lawyer and entrepreneur. His legal and compliance expertise, together with operational experience as chief operating officer at both private and public technology companies, anchors the firm’s legal, compliance and operations functions.
Ryan joined the firm in 2012 and is responsible for trading and analysis of the firm's strategies. He previously spent eight years at JP Morgan Chase in New York on the FX Derivatives Operations team and FX Forwards Group, where he led projects implementing new trading and risk applications, derivative pricing models, and streamlined processes. He has been interviewed by many financial publications such as Bloomberg, The Wall Street Journal, The Financial Times, and more.
Alex joined the firm in 2018 with extensive experience in international banking, asset management, wealth management, and alternative investment funds. He previously served as an Investment Specialist for Aviva Investors, covering alternative and fixed income strategies, and as a Portfolio Manager and Head of Liquid Alternatives for Ballentine Partners. Alex is a contributor to Bloomberg, has been quoted in the Financial Times, and regularly speaks at industry events. He is fluent in German.
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.
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.
Kevin Carey-Trickett is Director of Private Fund Operations at the firm. He has previously held various senior operations positions with private fund administrators located in the Cayman Islands and Ireland. Kevin is 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).
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.
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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Some things never change – like our commitment to being accessible to our clients and partners. Whether you're a long-time friend or new to Herzfeld Advisors, we're here to talk.
