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HEROLD ADVISORS, INC.
CRD 105090File 801-11216
APPROVED
Retail clients
Disclosure events
Filing as of Jul 2, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$540.2M
Above cohort median (national)
Discretionary AUM
$540.2M
Clients
563
563 accounts
Employees
9
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 2, 1976
- Principal office
- 711 3RD AVENUE SUITE 1802, NEW YORK, NY, 10017
- Phone
- 212-371-3950
- Website
- HTTP://WWW.HEROLDlantern.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $540.2M
- Discretionary AUM
- $540.2M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 563
- Non-discretionary accounts
- 0
- Total accounts
- 563
- AUM per client
- $959K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 2 | $8.8M |
| High net worth individuals | 118 | $373.5M |
| Pension and profit sharing plans | 4 | $19.3M |
| Individuals (other than high net worth individuals) | 439 | $138.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — MARGIN PARTICIPATION
- A percentage of assets under your management
Advisory activities
- Publications
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.