Herold Advisors, Inc.

Registered adviser

CIK

1891713

Location

New York, NY

Portfolio Value

Small $505,487,833

Diversification

Diversified

Filing Date

Global Rank

#3,818 / 8,818 ▼ 80 · as of Jun 2026

Top Industry

Drug Manufacturers - General 10.9%

Period ended 28 days ago

Filed Oct 19, 2026 · 9d

21 quarters · since Sep 2021

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 105090

Roster of Oct 1, 2026

Regulatory AUM

$540,163,645

Main clients

Individuals and high net worth (95% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$540,163,645	Individuals and high net worth (95%)
Apr 2025 to Mar 2026	$489,697,335	Individuals and high net worth (94%)
Apr 2024 to Mar 2025	$413,078,931	Individuals and high net worth (92%)
May 2023 to Mar 2024	$334,005,916	Individuals and high net worth (92%)
Apr 2023	$334,005,916	Individuals and high net worth (92%)
Apr 2022 to Mar 2023	$376,020,301	Individuals and high net worth (93%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 41.4%, 38.7 effective positions, active share 54.3% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

13.4% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 16.6 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 54.3%; sector active share 22.8% against the combined 13F book's sector weights.

Over time 20 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

268 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

9.8%

+0.5 pts

Top 5

31.0%

+2.8 pts

Top 10

44.3%

+2.9 pts

HHI

288

Diversified+30

Portfolio Trend

21 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	33.4%	$168,896,352	89
Technology	20.6%	$104,133,245	26
Financial Services	10.4%	$52,396,416	39
Healthcare	8.7%	$43,933,883	18
Energy	5.7%	$28,572,853	12
Industrials	5.5%	$27,962,799	30
Communication Services	5.0%	$25,502,607	9
Consumer Defensive	3.6%	$17,963,602	13
Consumer Cyclical	3.2%	$16,201,106	10
Utilities	2.2%	$11,365,441	11
Real Estate	0.9%	$4,547,876	6
Basic Materials	0.8%	$4,011,653	5

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
APH	Amphenol Corp	+34,766	75,543	$6,368,274
AVLV	Avantis U.S. Large Cap Value ETF	+23,104	64,335	$5,818,457
BKLC	BNY Mellon US Large Cap Core Equity ETF	+17,586	28,760	$1,405,213
SKOR	FlexShares Credit-Scored US Corporate Bond Index Fund	+8,974	118,574	$5,543,690
AVLC	Avantis U.S. Large Cap Equity ETF	+8,160	116,804	$10,543,897
DFUS	Dimensional U.S. Equity Market ETF	+5,544	154,403	$12,820,081
AVGB	Avantis Credit ETF	+4,983	35,964	$1,784,533
CGDV	Capital Group Dividend Value ETF	+4,932	61,023	$2,980,973
DFIV	Dimensional International Value ETF	+4,719	94,083	$5,255,476
DUHP	Dimensional US High Profitability ETF	+4,493	34,697	$1,454,151
JBND	JPMorgan Active Bond ETF	+4,378	28,740	$1,469,188
QYLD	Global X NASDAQ 100 Covered Call ETF	+4,352	16,368	$303,626
GUT	Gabelli Utility Trust	+4,000	15,212	$86,556
DFSD	Dimensional Short-Duration Fixed Income ETF	+3,726	15,274	$709,813
QGRW	WisdomTree U.S. Quality Growth Fund	+3,352	70,756	$4,859,522
AVUS	Avantis U.S. Equity ETF	+3,221	84,596	$10,835,901
PDI	PIMCO Dynamic Income Fund	+2,768	28,716	$402,885
WMB	Williams Companies, Inc.	+2,518	14,083	$957,221
FALN	iShares Fallen Angels USD Bond ETF	+2,154	24,294	$629,943
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	+2,137	49,865	$3,054,729
LRGF	iShares U.S. Equity Factor ETF	+2,064	22,570	$1,757,074
BWXT	BWX Technologies, Inc.	+1,895	5,616	$769,392
SCHD	Schwab U.S. Dividend Equity ETF	+1,829	19,210	$624,901
NRK	Nuveen New York Amt-Free Quality Municipal Income Fund	+1,793	36,586	$338,054
JEPI	JPMorgan Equity Premium Income ETF	+1,724	64,424	$3,621,917
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
IGIB	iShares 5-10 Year Investment Grade Corporate Bond ETF	−102,860	6,710	$337,848
NKE	NIKE, Inc.	−9,840	12,927	$457,615
NVDA	Nvidia Corp	−8,874	105,203	$24,026,261
PFE	Pfizer Inc	−5,228	76,022	$2,168,147
NNY	Nuveen New York Municipal Value Fund	−4,892	27,603	$214,751
SCHG	Schwab U.S. Large-Cap Growth ETF	−4,851	60,631	$2,178,471
JPIE	JPMorgan Income ETF	−3,101	22,000	$987,580
VZ	Verizon Communications Inc	−2,750	88,781	$4,072,384
AVIG	Avantis Core Fixed Income ETF	−2,749	185,470	$7,305,663
NFLX	Netflix Inc	−2,684	12,088	$841,083
BP	Bp PLC	−2,574	21,438	$943,057
MYN	Blackrock Muniyield New York Quality Fund, Inc.	−2,000	55,275	$484,209
BN	BROOKFIELD Corp	−1,965	60,049	$2,189,386
PLD	Prologis, Inc.	−1,755	9,292	$1,206,473
DGRW	WisdomTree U.S. Quality Dividend Growth Fund	−1,475	24,179	$2,351,165
USFR	WisdomTree Floating Rate Treasury Fund	−1,348	28,098	$1,415,858
DFAU	Dimensional US Core Equity Market ETF	−1,221	53,046	$2,777,488
VUG	VANGUARD GROWTH INDEX FUND	−1,200	13,311	$1,199,454
DFCF	Dimensional Core Fixed Income ETF	−1,147	187,048	$7,504,365
CTAS	Cintas Corp	−1,130	13,962	$2,723,427
PG	PROCTER & GAMBLE Co	−1,107	21,844	$3,173,496
AAPL	Apple Inc.	−1,071	81,516	$27,146,458
ABBV	AbbVie Inc.	−1,016	34,107	$8,922,050
XLF	State Street Corp	−999	6,694	$0
MSFT	Microsoft Corp	−950	36,377	$18,657,763
No positions match the current search.

New Positions

Positions the filer opened this quarter

10 positions

Ticker	Company	Shares	Value
TDTT	FlexShares iBoxx 3-Year Target Duration TIPS Index Fund	256,544	$5,959,517
FTCS	First Trust Capital Strength ETF	2,699	$253,301
USO	United States Oil Fund, LP	1,500	$218,490
SCCO	Southern Copper Corp	1,061	$215,001
HON	Honeywell International Inc	1,018	$214,736
EMR	Emerson Electric Co	1,321	$204,887
CLBK	Columbia Financial, Inc.	16,034	$177,336
QXO	QXO, Inc.	13,678	$159,895
ABSI	Absci Corp	12,800	$137,856
XTND	Xtend AI Robotics, Inc.	15,000	$53,400
No positions match the current search.

Sold Out

Positions the filer fully exited

14 positions

Ticker	Company	Shares	Value
JPEF	JPMorgan Equity Focus ETF	27,188	$2,184,012
TSCO	Tractor Supply Co	15,200	$480,472
—		25,926	$382,000
Q	Qnity Electronics, Inc.	1,538	$251,170
OKLO	Oklo Inc.	4,700	$245,951
TTE	TotalEnergies SE	2,947	$229,158
DKS	Dick's Sporting Goods, Inc.	1,006	$228,170
AXON	Axon Enterprise, Inc.	400	$224,244
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	4,910	$222,619
NMT	Nuveen Massachusetts Quality Municipal Income Fund	16,000	$207,840
FMNY	First Trust New York Municipal High Income ETF	7,515	$202,153
VTN	Invesco Trust for Investment Grade New York Municipals	13,488	$156,191
MYI	Blackrock Muniyield Quality Fund III, Inc.	11,535	$128,153
—		15,000	$72,150
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

268 tracked positions · $505,487,833 total · filing declares 269 positions · $512,208,800 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 268 positions by value · page 1 of 6

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	81,516	-1,071	$27,146,458	+13.6%	5.37%
NVDA	Nvidia Corp Technology	Reduced	105,203	-8,874	$24,026,261	+5.3%	4.75%
MSFT	Microsoft Corp Technology	Reduced	36,377	-950	$18,657,763	+34.0%	3.69%
DFUS	Dimensional U.S. Equity Market ETF	Added	154,403	+5,544	$12,820,081	+5.1%	2.54%
LLY	ELI LILLY & Co Healthcare	Reduced	10,177	-373	$11,775,603	−6.9%	2.33%
AVUS	Avantis U.S. Equity ETF	Added	84,596	+3,221	$10,835,901	+4.0%	2.14%
XOM	ExxonMobil Holdings Corp Energy	Added	65,857	+426	$10,718,226	+19.8%	2.12%
AVLC	Avantis U.S. Large Cap Equity ETF	Added	116,804	+8,160	$10,543,897	+7.9%	2.09%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	28,766	-445	$9,516,655	−0.5%	1.88%
ABBV	AbbVie Inc. Healthcare	Reduced	34,107	-1,016	$8,922,050	+0.9%	1.77%
MA	Mastercard Inc Financial Services	Reduced	15,644	-258	$8,627,196	+5.6%	1.71%
GOOGL	Alphabet Inc. Communication Services	Reduced	24,296	-764	$8,359,767	−6.7%	1.65%
V	Visa Inc. Financial Services	Reduced	22,048	-165	$7,922,507	+4.0%	1.57%
DFCF	Dimensional Core Fixed Income ETF	Reduced	187,048	-1,147	$7,504,365	−5.5%	1.48%
AVIG	Avantis Core Fixed Income ETF	Reduced	185,470	-2,749	$7,305,663	−6.3%	1.45%
WMT	Walmart Inc. Consumer Defensive	Reduced	69,929	-411	$7,267,021	−8.8%	1.44%
APH	Amphenol Corp Technology	Added	75,543	+34,766	$6,368,274	−11.4%	1.26%
CVX	Chevron Corp Energy	Added	29,826	+99	$6,090,767	+23.6%	1.20%
TDTT	FlexShares iBoxx 3-Year Target Duration TIPS Index Fund	NEW	256,544	NEW	$5,959,517	NEW	1.18%
QLC	FlexShares US Quality Large Cap Index Fund	Reduced	64,105	-590	$5,831,631	+0.3%	1.15%
AVLV	Avantis U.S. Large Cap Value ETF	Added	64,335	+23,104	$5,818,457	+54.7%	1.15%
SKOR	FlexShares Credit-Scored US Corporate Bond Index Fund	Added	118,574	+8,974	$5,543,690	+4.2%	1.10%
IQDY	FlexShares International Quality Dividend Dynamic Index Fund	Reduced	128,168	-714	$5,386,734	−2.2%	1.07%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	21,256	-333	$5,295,932	+2.9%	1.05%
DFIV	Dimensional International Value ETF	Added	94,083	+4,719	$5,255,476	+8.9%	1.04%
META	Meta Platforms, Inc. Communication Services	Reduced	7,083	-176	$5,136,449	+25.6%	1.02%
QGRW	WisdomTree U.S. Quality Growth Fund	Added	70,756	+3,352	$4,859,522	+9.2%	0.96%
MRK	Merck & Co., Inc. Healthcare	Reduced	31,510	-110	$4,578,718	+12.7%	0.91%
IBM	International Business Machines Corp Technology	Added	20,236	+488	$4,450,503	−19.9%	0.88%
JNJ	Johnson & Johnson Healthcare	Added	15,627	+360	$4,137,091	+6.7%	0.82%
VZ	Verizon Communications Inc Communication Services	Reduced	88,781	-2,750	$4,072,384	+5.1%	0.81%
AVDE	Avantis International Equity ETF	Reduced	44,689	-143	$4,026,925	+0.7%	0.80%
PSX	Phillips 66 Energy	Reduced	15,536	-306	$3,966,496	+48.1%	0.78%
HD	Home Depot, Inc. Consumer Cyclical	Added	13,525	+508	$3,847,727	−16.2%	0.76%
AVUV	Avantis U.S. Small Cap Value ETF	Added	32,404	+544	$3,816,219	−4.0%	0.75%
TSLA	Tesla, Inc. Consumer Cyclical	Added	10,488	+208	$3,721,247	−13.9%	0.74%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Added	59,280	+11	$3,645,720	+15.8%	0.72%
JEPI	JPMorgan Equity Premium Income ETF	Added	64,424	+1,724	$3,621,917	+2.3%	0.72%
JPST	JPMorgan Ultra-Short Income ETF	Reduced	67,820	-60	$3,416,093	−0.5%	0.68%
ETN	Eaton Corp plc Industrials	Reduced	7,540	-109	$3,240,013	−0.6%	0.64%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	6,449	+45	$3,211,279	+0.2%	0.64%
BIP	Brookfield Infrastructure Partners L.P. Utilities	Held	90,061	0	$3,201,668	−2.6%	0.63%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	21,844	-1,107	$3,173,496	−5.7%	0.63%
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	Added	49,865	+2,137	$3,054,729	+4.1%	0.60%
CGDV	Capital Group Dividend Value ETF	Added	61,023	+4,932	$2,980,973	+7.8%	0.59%
AVGO	Broadcom Inc. Technology	Added	8,470	+524	$2,974,579	−0.9%	0.59%
CB	Chubb Ltd Financial Services	Reduced	8,641	-379	$2,810,485	−8.6%	0.56%
DFAU	Dimensional US Core Equity Market ETF	Reduced	53,046	-1,221	$2,777,488	−1.0%	0.55%
CTAS	Cintas Corp Industrials	Reduced	13,962	-1,130	$2,723,427	+6.1%	0.54%
T	At&T Inc. Communication Services	Added	109,692	+543	$2,676,484	+18.5%	0.53%

Showing the top 50 of 268 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.