Herold Advisors, Inc.

New York, NY · CIK 1891713 · 13F filing filed 2023-02-14

SEC-registered investment adviser since 1976 · corporation

Assets managed$540.2m
Staff9 · 8 in investment roles
Main clients (by assets)High net worth individuals 69%, Individuals 26%, Pension plans 4%
Websiteheroldlantern.com
Form ADV · 2026-09-10SEC adviser record

$236.2m reported value +14.8% vs Q3 2022

204positions

24.8%in top 10

25 new 102 added 40 reduced 9 sold out vs Q3 2022

Holdings, Q4 2022

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	APPLE INC COM AAPL	AAPL	91,507	$11.9m5.03%	5.03%	Added +8.0k	+7,981 9.6%
2	MICROSOFT CORP COM MSFT	MSFT	40,904	$9.8m4.15%	4.15%	Added +5.9k	+5,943 17.0%
3	MASTERCARD INCORPORATED CL A MA	MA	17,580	$6.1m2.59%	2.59%	Unchanged
4	VISA INC COM CL A V	V	28,257	$5.9m2.49%	2.49%	Added +623	+623 2.2%
5	ABBVIE INC COM ABBV	ABBV	33,932	$5.5m2.32%	2.32%	Added +1.5k	+1,534 4.7%
6	JPMORGAN CHASE & CO COM JPM	JPM	29,791	$4.0m1.69%	1.69%	Added +59	+59 0.2%
7	NIKE INC CL B NKE	NKE	33,779	$4.0m1.67%	1.67%	Reduced -197	-197 -0.6%
8	ELI LILLY & CO COM LLY	LLY	10,509	$3.8m1.63%	1.63%	Added +1.5k	+1,500 16.6%
9	HOME DEPOT INC COM HD	HD	12,102	$3.8m1.62%	1.62%	Added +976	+976 8.8%
10	CHEVRON CORP NEW COM CVX	CVX	21,099	$3.8m1.60%	1.60%	Reduced -133	-133 -0.6%
11	BROOKFIELD INFRAST PARTNERS LP INT UNIT BIP	BIP	120,307	$3.7m1.58%	1.58%	Added +57	+57 0.1%
12	EXXON MOBIL CORP COM XOM	XOM	33,167	$3.7m1.55%	1.55%	Added +128	+128 0.4%
13	WALMART INC COM WMT	WMT	24,743	$3.5m1.49%	1.49%	Added +2.0k	+2,000 8.8%
14	MERCK & CO INC COM MRK	MRK	31,264	$3.5m1.47%	1.47%	Added +2.5k	+2,495 8.7%
15	PROCTER AND GAMBLE CO COM PG	PG	22,828	$3.5m1.47%	1.47%	Added +406	+406 1.8%
16	SELECT SECTOR SPDR TR ENERGY XLE	XLE	38,031	$3.3m1.41%	1.41%	Added +410	+410 1.1%
17	JOHNSON & JOHNSON COM JNJ	JNJ	18,371	$3.2m1.37%	1.37%	Added +902	+902 5.2%
18	INTERNATIONAL BUSINESS MACHS COM IBM	IBM	20,280	$2.9m1.21%	1.21%	Added +557	+557 2.8%
19	ONEOK INC NEW COM OKE	OKE	41,966	$2.8m1.17%	1.17%	Added +4	+4 0.0%
20	S&P GLOBAL INC COM SPGI	SPGI	7,420	$2.5m1.05%	1.05%	New
21	VERIZON COMMUNICATIONS INC COM VZ	VZ	62,345	$2.5m1.04%	1.04%	Added +4.4k	+4,442 7.7%
22	NVIDIA CORPORATION COM NVDA	NVDA	16,074	$2.3m0.99%	0.99%	Added +1.1k	+1,050 7.0%
23	BRISTOL-MYERS SQUIBB CO COM BMY	BMY	32,347	$2.3m0.99%	0.99%	Added +2.5k	+2,524 8.5%
24	COSTCO WHSL CORP NEW COM COST	COST	5,007	$2.3m0.97%	0.97%	Reduced -50	-50 -1.0%
25	DEERE & CO COM DE	DE	5,294	$2.3m0.96%	0.96%	Unchanged
26	WP CAREY INC COM WPC	WPC	28,541	$2.2m0.94%	0.94%	Added +15	+15 0.1%
27	CVS HEALTH CORP COM CVS	CVS	23,703	$2.2m0.94%	0.94%	Reduced -6.7k	-6,738 -22.1%
28	PHILLIPS 66 COM PSX	PSX	20,999	$2.2m0.93%	0.93%	Added +152	+152 0.7%
29	CHUBB LIMITED COM CB	CB	9,892	$2.2m0.92%	0.92%	Added +1	+1 0.0%
30	WASTE MGMT INC DEL COM WM	WM	13,773	$2.2m0.91%	0.91%	Reduced -39	-39 -0.3%
31	CINTAS CORP COM CTAS	CTAS	4,755	$2.1m0.91%	0.91%	Unchanged
32	INTUITIVE SURGICAL INC COM NEW ISRG	ISRG	7,950	$2.1m0.89%	0.89%	Unchanged
33	ETF SER SOLUTIONS DISTILLATE US DSTL	DSTL	50,887	$2.1m0.88%	0.88%	Reduced -837	-837 -1.6%
34	ZOETIS INC CL A ZTS	ZTS	13,743	$2.0m0.85%	0.85%	Reduced -100	-100 -0.7%
35	INTUIT COM INTU	INTU	5,120	$2.0m0.84%	0.84%	Unchanged
36	AMPHENOL CORP CL A APH	APH	25,724	$2.0m0.83%	0.83%	Reduced -100	-100 -0.4%
37	INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM OMFL	OMFL	43,964	$1.9m0.80%	0.80%	Reduced -7.9k	-7,875 -15.2%
38	BROOKFIELD CORP CL A LTD VT SH BN	BN	59,295	$1.9m0.79%	0.79%	New
39	ABBOTT LABS COM ABT	ABT	16,942	$1.9m0.79%	0.79%	Added +1.0k	+1,000 6.3%
40	NUCOR CORP COM NUE	NUE	14,030	$1.8m0.78%	0.78%	Unchanged
41	NEXTERA ENERGY INC COM NEE	NEE	21,725	$1.8m0.77%	0.77%	Added +1	+1 0.0%
42	TRACTOR SUPPLY CO COM TSCO	TSCO	8,060	$1.8m0.77%	0.77%	Added +1.0k	+1,001 14.2%
43	PFIZER INC COM PFE	PFE	34,281	$1.8m0.74%	0.74%	Added +2.2k	+2,180 6.8%
44	UNITEDHEALTH GROUP INC COM UNH	UNH	3,271	$1.7m0.73%	0.73%	Added +1	+1 0.0%
45	CONSOLIDATED EDISON INC COM ED	ED	17,113	$1.6m0.69%	0.69%	Added +9.0k	+8,975 110.3%
46	GOLDMAN SACHS ETF TR ACTIVEBETA US LG GSLC	GSLC	21,130	$1.6m0.68%	0.68%	Reduced -5.7k	-5,695 -21.2%
47	LOCKHEED MARTIN CORP COM LMT	LMT	3,252	$1.6m0.67%	0.67%	Unchanged
48	AMERICAN TOWER CORP NEW COM AMT	AMT	7,410	$1.6m0.66%	0.66%	Reduced -3.2k	-3,190 -30.1%
49	PROLOGIS INC. COM PLD	PLD	13,423	$1.5m0.64%	0.64%	Unchanged
50	WISDOMTREE TR US QTLY DIV GRT DGRW	DGRW	24,204	$1.5m0.62%	0.62%	Added +325	+325 1.4%
51	AMERICAN CENTY ETF TR US EQT ETF AVUS	AVUS	21,411	$1.5m0.62%	0.62%	Reduced -928	-928 -4.2%
52	HENRY JACK & ASSOC INC COM JKHY	JKHY	8,120	$1.4m0.60%	0.60%	Unchanged
53	QUALCOMM INC COM QCOM	QCOM	12,822	$1.4m0.60%	0.60%	Added +445	+445 3.6%
54	MCDONALDS CORP COM MCD	MCD	5,187	$1.4m0.58%	0.58%	Added +200	+200 4.0%
55	FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV RDVY	RDVY	30,962	$1.4m0.58%	0.58%	Reduced -484	-484 -1.5%
56	RTX CORPORATION COM RTX	RTX	13,462	$1.4m0.58%	0.58%	Added +666	+666 5.2%
57	AVERY DENNISON CORP COM AVY	AVY	7,280	$1.3m0.56%	0.56%	Reduced -2.0k	-1,999 -21.5%
58	BOEING CO COM BA	BA	6,846	$1.3m0.55%	0.55%	Added +1.4k	+1,350 24.6%
59	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	23,640	$1.3m0.55%	0.55%	Added +3.9k	+3,930 19.9%
60	BANK AMERICA CORP COM BAC	BAC	38,647	$1.3m0.54%	0.54%	Added +5.3k	+5,304 15.9%
61	BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT BEP	BEP	49,568	$1.3m0.53%	0.53%	Added +12	+12 0.0%
62	SHELL PLC SPON ADS SHEL	SHEL	21,988	$1.3m0.53%	0.53%	Added +1.0k	+1,010 4.8%
63	CISCO SYS INC COM CSCO	CSCO	25,910	$1.2m0.52%	0.52%	Added +800	+800 3.2%
64	DISNEY WALT CO COM DIS	DIS	14,152	$1.2m0.52%	0.52%	Added +925	+925 7.0%
65	ALPHABET INC CAP STK CL A GOOGL	GOOGL	13,930	$1.2m0.52%	0.52%	Added +3.6k	+3,650 35.5%
66	AMAZON COM INC COM AMZN	AMZN	14,616	$1.2m0.52%	0.52%	Added +836	+836 6.1%
67	AT&T INC COM T	T	63,214	$1.2m0.49%	0.49%	Added +3.6k	+3,555 6.0%
68	IQVIA HLDGS INC COM IQV	IQV	5,600	$1.1m0.49%	0.49%	Reduced -200	-200 -3.5%
69	UNION PAC CORP COM UNP	UNP	5,407	$1.1m0.47%	0.47%	Added +1	+1 0.0%
70	PEPSICO INC COM PEP	PEP	5,880	$1.1m0.45%	0.45%	Added +100	+100 1.7%
71	ISHARES TR CORE DIV GRWTH DGRO	DGRO	21,179	$1.1m0.45%	0.45%	Added +273	+273 1.3%
72	SCHWAB STRATEGIC TR US LCAP GR ETF SCHG	SCHG	19,000	$1.1m0.45%	0.45%	Reduced -120	-120 -0.6%
73	CONSTELLATION BRANDS INC CL A STZ	STZ	4,375	$1.0m0.43%	0.43%	Unchanged
74	PACER FDS TR US CASH COWS 100 COWZ	COWZ	21,916	$1.0m0.43%	0.43%	Added +5.5k	+5,547 33.9%
75	COMCAST CORP NEW CL A CMCSA	CMCSA	28,716	$1.0m0.43%	0.43%	Added +255	+255 0.9%
76	WISDOMTREE TR US EFFICIENT COR NTSX	NTSX	30,040	$974.8k0.41%	0.41%	Reduced -560	-560 -1.8%
77	J P MORGAN EXCHANGE TRADED F ULTRA SHRT ETF JPST	JPST	18,646	$934.7k0.40%	0.40%	Added +7.2k	+7,240 63.5%
78	PUBLIC SVC ENTERPRISE GRP IN COM PEG	PEG	15,108	$925.7k0.39%	0.39%	Unchanged
79	WISDOMTREE TR US LARGECAP FUND EPS	EPS	22,050	$916.8k0.39%	0.39%	Reduced -2.2k	-2,160 -8.9%
80	TESLA INC COM TSLA	TSLA	7,400	$911.5k0.39%	0.39%	Added +1.6k	+1,650 28.7%
81	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	2,950	$911.3k0.39%	0.39%	Unchanged
82	EATON CORP PLC SHS ETN	ETN	5,725	$898.5k0.38%	0.38%	Unchanged
83	L3HARRIS TECHNOLOGIES INC COM LHX	LHX	4,305	$896.3k0.38%	0.38%	Unchanged
84	ICICI BANK LIMITED ADR IBN	IBN	40,700	$890.9k0.38%	0.38%	Unchanged
85	SPDR GOLD TR GOLD SHS GLD	GLD	5,205	$883.0k0.37%	0.37%	Added +1.3k	+1,300 33.3%
86	GOLDMAN SACHS GROUP INC COM GS	GS	2,555	$877.3k0.37%	0.37%	Added +1.0k	+1,000 64.3%
87	AMERICAN CENTY ETF TR INTL EQT ETF AVDE	AVDE	16,473	$876.2k0.37%	0.37%	Added +1.3k	+1,254 8.2%
88	ISHARES TR CONV BD ETF ICVT	ICVT	12,560	$872.5k0.37%	0.37%	Reduced -1.3k	-1,255 -9.1%
89	FLEXSHARES TR MORNSTAR UPSTR GUNR	GUNR	19,760	$859.0k0.36%	0.36%	Added +125	+125 0.6%
90	SPDR SER TR BBG CONV SEC ETF CWB	CWB	13,300	$855.7k0.36%	0.36%	Reduced -758	-758 -5.4%
91	BLACKROCK INC COM BLK	BLK	1,105	$783.0k0.33%	0.33%	Reduced -1.1k	-1,050 -48.7%
92	AIR PRODS & CHEMS INC COM APD	APD	2,525	$778.4k0.33%	0.33%	Unchanged
93	META PLATFORMS INC CL A META	META	6,335	$762.4k0.32%	0.32%	Added +135	+135 2.2%
94	ALPHABET INC CAP STK CL C GOOG	GOOG	8,200	$727.6k0.31%	0.31%	Unchanged
95	WISDOMTREE TR EM EX ST-OWNED XSOE	XSOE	27,138	$724.0k0.31%	0.31%	Reduced -16.4k	-16,403 -37.7%
96	VANGUARD SPECIALIZED FUNDS DIV APP ETF VIG	VIG	4,411	$669.8k0.28%	0.28%	Added +3	+3 0.1%
97	INVESCO EXCH TRADED FD TR II S&P ULTRA DIVIDE RDIV	RDIV	15,115	$658.6k0.28%	0.28%	Added +1.5k	+1,478 10.8%
98	J P MORGAN EXCHANGE TRADED F INCOME ETF JPIE	JPIE	14,461	$652.5k0.28%	0.28%	Added +6.8k	+6,802 88.8%
99	NATIONAL GRID PLC SPONSORED ADR NE NGG	NGG	10,292	$620.8k0.26%	0.26%	Added +524	+524 5.4%
100	BNY MELLON ETF TRUST US LRG CP CORE BKLC	BKLC	8,445	$592.0k0.25%	0.25%	Reduced -350	-350 -4.0%

Sold out since Q3 2022

Security	Ticker	Shares held before	Value then
BROOKFIELD ASSET MGMT INC		59,340	$2.4m59.3k shares
POOL CORP POOL	POOL	3,100	$986.0k3.1k shares
MCCORMICK & CO INC MKC	MKC	9,380	$668.0k9.4k shares
ISHARES TR ICLN	ICLN	21,540	$411.0k21.5k shares
DIMENSIONAL ETF TRUST DFUS	DFUS	6,270	$243.0k6.3k shares
DIMENSIONAL ETF TRUST DFAT	DFAT	6,175	$240.0k6.2k shares
ISHARES TR IGIB	IGIB	4,678	$225.0k4.7k shares
UNDER ARMOUR INC UAA	UAA	10,000	$66.0k10.0k shares
HERITAGE INSURANCE HLDGS INC HRTG	HRTG	23,000	$51.0k23.0k shares