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HEROLD ADVISORS, INC.
CRD 105090File 801-11216
APPROVED
Retail clients
Disclosure events
Filing as of Sep 10, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 523 | 563 | increased by40 |
| Apr 1, 2026 | AUM | $489,697,335 | $540,163,645 | increased by$50,466,310 |
| Apr 1, 2026 | Accounts | 523 | 563 | increased by40 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 9 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 315 | 523 | increased by208 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $376,020,301 | $489,697,335 | increased by$113,677,034 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 315 | 523 | increased by208 |
| Apr 1, 2022 | Employees | 8 | 7 | decreased by1 |
| Apr 1, 2022 | Clients | 255 | 315 | increased by60 |
| Apr 1, 2022 | AUM | $276,157,543 | $376,020,301 | increased by$99,862,758 |
| Apr 1, 2022 | Accounts | 255 | 315 | increased by60 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HEROLD ADVISORS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HEROLD ADVISORS” may also match similarly-named firms). Confirm identity against each filing.
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.