HERBST GROUP, LLC

Registered adviser

CIK

1909319

Location

WESTPORT, CT

Portfolio Value

Small $154,339,716

Diversification

Diversified

Filing Date

Global Rank

#6,995 / 8,811 ▼ 282 · as of Jun 2026

Top Industry

Aerospace & Defense 24.1%

Period ended 22 days ago

Filed Oct 20, 2026 · 2d

20 quarters · since Dec 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 309319

Roster of Oct 1, 2026

Regulatory AUM

$204,750,725

Main clients

Individuals and high net worth (96% 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	$204,750,725	Individuals and high net worth (96%)
Feb 2025 to Mar 2026	$206,957,094	Individuals and high net worth (96%)
Feb 2024 to Jan 2025	$206,643,296	Individuals and high net worth (96%)
May 2023 to Jan 2024	$168,826,909	Individuals and high net worth (99%)
Mar 2023 to Apr 2023	$168,826,909	Individuals and high net worth (99%)
Feb 2022 to Feb 2023	$203,957,583	Individuals and high net worth (98%)

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 45.3%, 28.3 effective positions, active share 77.6% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

61.0% over the last four quarters (30% to under 100%)

Horizon

Medium horizon

Value-weighted holding period 11.0 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 77.6%; sector active share 42.5% against the combined 13F book's sector weights.

Over time 19 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.

View clone backtest

Portfolio Concentration

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

Top Position

11.2%

+2.0 pts

Top 5

36.1%

+7.0 pts

Top 10

54.3%

+9.0 pts

HHI

443

Diversified+90

Portfolio Trend

20 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	51.3%	$79,248,277	43
Technology	17.1%	$26,334,076	7
Industrials	15.8%	$24,359,398	11
Consumer Cyclical	4.3%	$6,662,681	2
Communication Services	4.0%	$6,229,912	1
Healthcare	3.3%	$5,018,255	1
Utilities	1.9%	$2,943,895	1
Financial Services	1.2%	$1,840,574	4
Energy	1.1%	$1,702,648	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

22 positions

Ticker	Company	Δ Shares	Shares	Value
SPYI	NEOS S&P 500(R) High Income ETF	+39,975	73,019	$3,882,420
QQQI	NEOS Nasdaq-100(R) High Income ETF	+23,721	45,382	$2,520,970
BIP	Brookfield Infrastructure Partners L.P.	+11,070	82,810	$2,943,895
CRWD	CrowdStrike Holdings, Inc.	+11,000	16,850	$4,461,037
GNRC	Generac Holdings Inc.	+5,485	12,585	$2,604,465
RSP	Victory Portfolios II	+4,155	16,488	$0
QQQM	Invesco Ltd.	+3,056	5,115	$0
VOO	VANGUARD 500 INDEX FUND	+2,952	6,557	$4,595,539
—		+2,576	45,237	$0
BUG	Global X Cybersecurity ETF	+2,000	7,500	$0
XLF	State Street Corp	+1,338	54,650	$0
JAAA	Janus Henderson AAA CLO ETF	+1,105	25,798	$1,302,025
IWM	iShares Russell 2000 ETF	+1,076	4,189	$1,164,081
ITA	iShares U.S. Aerospace & Defense ETF	+923	20,063	$0
IAUI	NEOS Gold High Income ETF	+817	9,124	$440,871
AFRM	Affirm Holdings, Inc.	+700	21,950	$1,519,598
ARTY	iShares Future AI & Tech ETF	+445	11,045	$865,044
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	+418	59,226	$3,642,399
AVGO	Broadcom Inc.	+400	2,800	$983,332
GD	General Dynamics Corp	+300	8,985	$2,981,492
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	+231	31,045	$3,445,063
AAPL	Apple Inc.	+25	17,468	$5,817,193
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
AMLP	Alerian MLP ETF	−48,794	27,825	$1,443,282
FSTA	Fidelity MSCI Consumer Staples Index ETF	−8,789	29,766	$1,513,303
CRWV	CoreWeave, Inc.	−7,000	19,430	$1,692,741
LHX	L3harris Technologies, Inc.	−5,915	5,690	$1,347,278
IGV	iShares Expanded Tech-Software Sector ETF	−5,088	42,542	$4,529,872
KTOS	Kratos Defense & Security Solutions, Inc.	−3,200	8,600	$367,134
FENI	Fidelity Enhanced International ETF	−3,193	61,905	$2,470,628
NUKZ	Range Nuclear Renaissance Index ETF	−2,464	44,403	$2,674,392
PANW	Palo Alto Networks Inc	−2,375	12,239	$4,862,677
IFRA	iShares U.S. Infrastructure ETF	−1,285	28,905	$1,590,642
GE	General Electric Co	−1,255	14,494	$4,526,331
GPIX	Goldman Sachs S&P 500 Premium Income ETF	−1,249	6,760	$377,410
GEV	GE Vernova Inc.	−1,175	3,875	$3,683,148
XME	State Street(R) SPDR(R) S&P(R) Metals & Mining ETF	−1,111	32,204	$3,335,046
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	−1,106	16,631	$3,255,518
GLW	Corning Inc	−1,035	16,481	$2,534,118
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	−817	32,770	$5,519,123
RTX	RTX Corp	−800	26,535	$4,926,222
GOOGL	Alphabet Inc.	−718	18,106	$6,229,912
IWMI	NEOS Russell 2000(R) High Income ETF	−697	30,454	$1,491,332
SPY	Spdr S&P 500 ETF Trust	−448	12,567	$9,583,971
QQQ	Invesco Qqq Trust, Series 1	−444	13,490	$9,979,497
AMZN	Amazon Com Inc	−420	20,423	$5,088,390
WMB	Williams Companies, Inc.	−350	25,050	$1,702,648
MSFT	Microsoft Corp	−315	11,665	$5,982,978
No positions match the current search.

New Positions

Positions the filer opened this quarter

18 positions

Ticker	Company	Shares	Value
MLPI	NEOS MLP & Energy Infrastructure High Income ETF	40,628	$2,039,931
TSLA	Tesla, Inc.	4,437	$1,574,291
LMT	Lockheed Martin Corp	3,040	$1,548,120
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	8,575	$1,431,853
SPCX	Space Exploration Technologies Corp	8,988	$1,355,929
GRID	First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund	5,855	$1,036,979
AVAV	AeroVironment Inc	5,500	$782,210
AIPO	Tidal Trust II	26,750	$754,350
NLR	VanEck Uranium and Nuclear ETF	7,000	$724,220
RSPA		10,776	$555,502
REMX	VanEck Rare Earth and Strategic Metals ETF	6,500	$417,690
XAR	State Street(R) SPDR(R) S&P(R) Aerospace & Defense ETF	1,540	$356,125
WQTM	WisdomTree Quantum Computing Fund	10,300	$330,218
BAM	Brookfield Asset Management Ltd.	7,200	$320,976
MUB	iShares National Muni Bond ETF	2,733	$276,306
ACHR	Archer Aviation Inc.	47,700	$237,069
VUG	VANGUARD GROWTH INDEX FUND	2,500	$225,275
VTV	VANGUARD VALUE INDEX FUND	1,000	$216,080
No positions match the current search.

Sold Out

Positions the filer fully exited

12 positions

Ticker	Company	Shares	Value
META	Meta Platforms, Inc.	7,477	$4,211,719
VRT	Vertiv Holdings Co	9,000	$3,013,380
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	41,110	$2,526,620
SPMO	Invesco Ltd.	15,365	$2,482,062
BE	Bloom Energy Corp	7,600	$2,300,520
SGRT	SMART Earnings Growth 30 ETF	48,646	$1,824,225
CEG	Constellation Energy Corp	6,500	$1,614,405
GRMN	Garmin Ltd	5,800	$1,377,732
JEPI	JPMorgan Equity Premium Income ETF	14,528	$820,541
FDN	First Trust Dow Jones Internet Index Fund	2,000	$529,440
NEAR	iShares Short Duration Bond Active ETF	6,855	$347,274
MDB	MongoDB, Inc.	600	$201,540
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

71 tracked positions · $154,339,716 total · filing declares 72 positions · $175,679,599 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Energy Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 71 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
QQQ	Invesco Qqq Trust, Series 1	Reduced	13,490	-444	$9,979,497	−2.7%	6.47%
SPY	Spdr S&P 500 ETF Trust	Reduced	12,567	-448	$9,583,971	−1.4%	6.21%
GOOGL	Alphabet Inc. Communication Services	Reduced	18,106	-718	$6,229,912	−7.4%	4.04%
MSFT	Microsoft Corp Technology	Reduced	11,665	-315	$5,982,978	+33.9%	3.88%
AAPL	Apple Inc. Technology	Added	17,468	+25	$5,817,193	+15.3%	3.77%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	32,770	-817	$5,519,123	+3.6%	3.58%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	20,423	-420	$5,088,390	+2.4%	3.30%
LLY	ELI LILLY & Co Healthcare	Reduced	4,337	-2	$5,018,255	−3.6%	3.25%
RTX	RTX Corp Industrials	Reduced	26,535	-800	$4,926,222	−5.0%	3.19%
PANW	Palo Alto Networks Inc Technology	Reduced	12,239	-2,375	$4,862,677	−2.4%	3.15%
VOO	VANGUARD 500 INDEX FUND	Added	6,557	+2,952	$4,595,539	+85.6%	2.98%
IGV	iShares Expanded Tech-Software Sector ETF	Reduced	42,542	-5,088	$4,529,872	—	2.94%
GE	General Electric Co Industrials	Reduced	14,494	-1,255	$4,526,331	−23.1%	2.93%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	16,850	+11,000	$4,461,037	−0.1%	2.89%
SPYI	NEOS S&P 500(R) High Income ETF	Added	73,019	+39,975	$3,882,420	+121.3%	2.52%
GEV	GE Vernova Inc. Industrials	Reduced	3,875	-1,175	$3,683,148	−37.9%	2.39%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Added	59,226	+418	$3,642,399	+16.6%	2.36%
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	Added	31,045	+231	$3,445,063	+4.4%	2.23%
XME	State Street(R) SPDR(R) S&P(R) Metals & Mining ETF	Reduced	32,204	-1,111	$3,335,046	−6.4%	2.16%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	16,631	-1,106	$3,255,518	−3.7%	2.11%
GD	General Dynamics Corp Industrials	Added	8,985	+300	$2,981,492	−3.1%	1.93%
BIP	Brookfield Infrastructure Partners L.P. Utilities	Added	82,810	+11,070	$2,943,895	+12.5%	1.91%
NUKZ	Range Nuclear Renaissance Index ETF	Reduced	44,403	-2,464	$2,674,392	−16.3%	1.73%
GNRC	Generac Holdings Inc. Industrials	Added	12,585	+5,485	$2,604,465	+25.3%	1.69%
GLW	Corning Inc Technology	Reduced	16,481	-1,035	$2,534,118	−43.4%	1.64%
QQQI	NEOS Nasdaq-100(R) High Income ETF	Added	45,382	+23,721	$2,520,970	+104.9%	1.63%
FENI	Fidelity Enhanced International ETF	Reduced	61,905	-3,193	$2,470,628	−5.4%	1.60%
MLPI	NEOS MLP & Energy Infrastructure High Income ETF	NEW	40,628	NEW	$2,039,931	NEW	1.32%
WMB	Williams Companies, Inc. Energy	Reduced	25,050	-350	$1,702,648	−9.8%	1.10%
CRWV	CoreWeave, Inc. Technology	Reduced	19,430	-7,000	$1,692,741	−35.7%	1.10%
IFRA	iShares U.S. Infrastructure ETF	Reduced	28,905	-1,285	$1,590,642	—	1.03%
TSLA	Tesla, Inc. Consumer Cyclical	NEW	4,437	NEW	$1,574,291	NEW	1.02%
LMT	Lockheed Martin Corp Industrials	NEW	3,040	NEW	$1,548,120	NEW	1.00%
AFRM	Affirm Holdings, Inc. Financial Services	Added	21,950	+700	$1,519,598	−12.3%	0.98%
FSTA	Fidelity MSCI Consumer Staples Index ETF	Reduced	29,766	-8,789	$1,513,303	−25.3%	0.98%
IWMI	NEOS Russell 2000(R) High Income ETF	Reduced	30,454	-697	$1,491,332	−10.5%	0.97%
AMLP	Alerian MLP ETF	Reduced	27,825	-48,794	$1,443,282	—	0.94%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	NEW	8,575	NEW	$1,431,853	NEW	0.93%
SPCX	Space Exploration Technologies Corp Industrials	NEW	8,988	NEW	$1,355,929	NEW	0.88%
LHX	L3harris Technologies, Inc. Industrials	Reduced	5,690	-5,915	$1,347,278	−60.0%	0.87%
JAAA	Janus Henderson AAA CLO ETF	Added	25,798	+1,105	$1,302,025	+4.4%	0.84%
IWM	iShares Russell 2000 ETF	Added	4,189	+1,076	$1,164,081	—	0.75%
GRID	First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund	NEW	5,855	NEW	$1,036,979	NEW	0.67%
AVGO	Broadcom Inc. Technology	Added	2,800	+400	$983,332	+8.5%	0.64%
ARTY	iShares Future AI & Tech ETF	Added	11,045	+445	$865,044	—	0.56%
AVAV	AeroVironment Inc Industrials	NEW	5,500	NEW	$782,210	NEW	0.51%
AIPO	Tidal Trust II	NEW	26,750	NEW	$754,350	NEW	0.49%
NLR	VanEck Uranium and Nuclear ETF	NEW	7,000	NEW	$724,220	NEW	0.47%
RSPA		NEW	10,776	NEW	$555,502	NEW	0.36%
IAUI	NEOS Gold High Income ETF	Added	9,124	+817	$440,871	+9.5%	0.29%

Showing the top 50 of 71 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.