Herold Advisors, Inc.

New York, NY · CIK 1891713 · 13F filing filed 2023-11-08

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

$328.7m reported value +0.6% vs Q2 2023

246positions

24.8%in top 10

22 new 116 added 71 reduced 15 sold out vs Q2 2023

Holdings, Q3 2023

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	92,767	$15.9m4.83%	4.83%	Reduced -1.3k	-1,306 -1.4%
2	MICROSOFT CORP COM MSFT	MSFT	39,628	$12.5m3.81%	3.81%	Reduced -1.9k	-1,890 -4.5%
3	GOLDMAN SACHS ETF TR MARKETBETA US EQ GSUS	GSUS	190,238	$11.1m3.39%	3.39%	Added +26.3k	+26,332 16.1%
4	MASTERCARD INCORPORATED CL A MA	MA	17,404	$6.9m2.10%	2.10%	Added +135	+135 0.8%
5	VISA INC COM CL A V	V	29,499	$6.8m2.06%	2.06%	Added +142	+142 0.5%
6	ELI LILLY & CO COM LLY	LLY	11,099	$6.0m1.81%	1.81%	Added +2.0k	+2,031 22.4%
7	GOLDMAN SACHS ETF TR ACTIVEBETA INT GSIE	GSIE	190,647	$5.7m1.74%	1.74%	Added +12.2k	+12,189 6.8%
8	NVIDIA CORPORATION COM NVDA	NVDA	13,159	$5.7m1.74%	1.74%	Reduced -2.4k	-2,436 -15.6%
9	ABBVIE INC COM ABBV	ABBV	38,096	$5.7m1.73%	1.73%	Added +2.6k	+2,568 7.2%
10	GOLDMAN SACHS ETF TR ACTIVEBETA US LG GSLC	GSLC	63,039	$5.3m1.62%	1.62%	Reduced -16.4k	-16,427 -20.7%
11	JPMORGAN CHASE & CO COM JPM	JPM	35,296	$5.1m1.56%	1.56%	Added +2.3k	+2,348 7.1%
12	ALPHABET INC CAP STK CL A GOOGL	GOOGL	32,310	$4.2m1.29%	1.29%	Reduced -1.7k	-1,667 -4.9%
13	WALMART INC COM WMT	WMT	26,385	$4.2m1.28%	1.28%	Added +111	+111 0.4%
14	CHEVRON CORP NEW COM CVX	CVX	24,019	$4.0m1.23%	1.23%	Added +1.8k	+1,800 8.1%
15	HOME DEPOT INC COM HD	HD	13,299	$4.0m1.22%	1.22%	Added +469	+469 3.7%
16	EXXON MOBIL CORP COM XOM	XOM	33,852	$4.0m1.21%	1.21%	Added +160	+160 0.5%
17	MERCK & CO INC COM MRK	MRK	36,938	$3.8m1.16%	1.16%	Added +576	+576 1.6%
18	PROCTER AND GAMBLE CO COM PG	PG	26,011	$3.8m1.15%	1.15%	Added +1.0k	+1,026 4.1%
19	NIKE INC CL B NKE	NKE	36,812	$3.5m1.07%	1.07%	Added +1.8k	+1,835 5.2%
20	BROOKFIELD INFRAST PARTNERS LP INT UNIT BIP	BIP	117,281	$3.4m1.05%	1.05%	Reduced -1.6k	-1,640 -1.4%
21	ETF SER SOLUTIONS DISTILLATE US DSTL	DSTL	75,105	$3.4m1.02%	1.02%	Added +2.1k	+2,053 2.8%
22	SELECT SECTOR SPDR TR ENERGY XLE	XLE	36,818	$3.3m1.01%	1.01%	Reduced -3	-3 -0.0%
23	PHILLIPS 66 COM PSX	PSX	26,397	$3.2m0.96%	0.96%	Added +2.5k	+2,468 10.3%
24	INTERNATIONAL BUSINESS MACHS COM IBM	IBM	21,880	$3.1m0.93%	0.93%	Added +688	+688 3.2%
25	JOHNSON & JOHNSON COM JNJ	JNJ	19,690	$3.1m0.93%	0.93%	Added +628	+628 3.3%
26	AMERICAN CENTY ETF TR US EQT ETF AVUS	AVUS	41,494	$3.0m0.92%	0.92%	Added +1.4k	+1,357 3.4%
27	ONEOK INC NEW COM OKE	OKE	46,254	$2.9m0.89%	0.89%	Added +3.3k	+3,313 7.7%
28	GOLDMAN SACHS ETF TR ACCESS US AGRAT GCOR	GCOR	69,923	$2.8m0.85%	0.85%	Added +16.1k	+16,141 30.0%
29	INTUIT COM INTU	INTU	5,157	$2.6m0.80%	0.80%	Reduced -197	-197 -3.7%
30	ZOETIS INC CL A ZTS	ZTS	14,976	$2.6m0.79%	0.79%	Added +292	+292 2.0%
31	INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM OMFL	OMFL	56,014	$2.6m0.78%	0.78%	Reduced -1.9k	-1,903 -3.3%
32	J P MORGAN EXCHANGE TRADED F ULTRA SHRT ETF JPST	JPST	49,358	$2.5m0.75%	0.75%	Added +10.2k	+10,167 25.9%
33	CINTAS CORP COM CTAS	CTAS	5,136	$2.5m0.75%	0.75%	Added +1.4k	+1,356 35.9%
34	META PLATFORMS INC CL A META	META	8,119	$2.4m0.74%	0.74%	Reduced -186	-186 -2.2%
35	S&P GLOBAL INC COM SPGI	SPGI	6,592	$2.4m0.73%	0.73%	Reduced -78	-78 -1.2%
36	AMPHENOL CORP CL A APH	APH	27,904	$2.3m0.71%	0.71%	Added +921	+921 3.4%
37	INTUITIVE SURGICAL INC COM NEW ISRG	ISRG	7,950	$2.3m0.71%	0.71%	Unchanged
38	CHUBB LIMITED COM CB	CB	11,159	$2.3m0.71%	0.71%	Added +791	+791 7.6%
39	WISDOMTREE TR US QTLY DIV GRT DGRW	DGRW	36,339	$2.3m0.70%	0.70%	Added +1.9k	+1,856 5.4%
40	AMAZON COM INC COM AMZN	AMZN	17,671	$2.2m0.68%	0.68%	Reduced -115	-115 -0.7%
41	EATON CORP PLC SHS ETN	ETN	10,491	$2.2m0.68%	0.68%	Added +74	+74 0.7%
42	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	41,160	$2.2m0.67%	0.67%	Added +13.3k	+13,264 47.5%
43	COMCAST CORP NEW CL A CMCSA	CMCSA	49,304	$2.2m0.67%	0.67%	Added +1.9k	+1,916 4.0%
44	DEERE & CO COM DE	DE	5,790	$2.2m0.66%	0.66%	Added +278	+278 5.0%
45	PFIZER INC COM PFE	PFE	62,736	$2.1m0.63%	0.63%	Added +9.7k	+9,711 18.3%
46	TESLA INC COM TSLA	TSLA	8,057	$2.0m0.61%	0.61%	Reduced -406	-406 -4.8%
47	UNITEDHEALTH GROUP INC COM UNH	UNH	3,966	$2.0m0.61%	0.61%	Added +293	+293 8.0%
48	ABBOTT LABS COM ABT	ABT	20,450	$2.0m0.60%	0.60%	Added +8.1k	+8,062 65.1%
49	VERIZON COMMUNICATIONS INC COM VZ	VZ	60,918	$2.0m0.60%	0.60%	Reduced -951	-951 -1.5%
50	BRISTOL-MYERS SQUIBB CO COM BMY	BMY	33,668	$2.0m0.59%	0.59%	Added +1.1k	+1,051 3.2%
51	GOLDMAN SACHS ETF TR ACTIVEBETA EME GEM	GEM	66,308	$1.9m0.58%	0.58%	Reduced -4.6k	-4,636 -6.5%
52	BROOKFIELD CORP CL A LTD VT SH BN	BN	59,782	$1.9m0.57%	0.57%	Added +500	+500 0.8%
53	ALPHABET INC CAP STK CL C GOOG	GOOG	13,759	$1.8m0.55%	0.55%	Added +1.0k	+1,000 7.8%
54	PACER FDS TR US CASH COWS 100 COWZ	COWZ	35,847	$1.8m0.54%	0.54%	Reduced -93	-93 -0.3%
55	NUCOR CORP COM NUE	NUE	11,180	$1.7m0.53%	0.53%	Reduced -250	-250 -2.2%
56	J P MORGAN EXCHANGE TRADED F INCOME ETF JPIE	JPIE	38,499	$1.7m0.52%	0.52%	Added +4.6k	+4,590 13.5%
57	WISDOMTREE TR FLOATNG RAT TREA USFR	USFR	33,664	$1.7m0.52%	0.52%	Added +9.9k	+9,934 41.9%
58	CISCO SYS INC COM CSCO	CSCO	31,328	$1.7m0.51%	0.51%	Added +3.9k	+3,928 14.3%
59	CVS HEALTH CORP COM CVS	CVS	23,632	$1.6m0.50%	0.50%	Reduced -6.0k	-6,010 -20.3%
60	PROLOGIS INC. COM PLD	PLD	14,460	$1.6m0.49%	0.49%	Added +1.0k	+1,037 7.7%
61	RTX CORPORATION COM RTX	RTX	22,468	$1.6m0.49%	0.49%	Added +3.9k	+3,913 21.1%
62	CONSOLIDATED EDISON INC COM ED	ED	18,665	$1.6m0.49%	0.49%	Added +1.1k	+1,069 6.1%
63	WP CAREY INC COM WPC	WPC	28,237	$1.5m0.46%	0.46%	Added +1.5k	+1,473 5.5%
64	ISHARES TR CORE S&P500 ETF IVV	IVV	3,479	$1.5m0.45%	0.45%	Added +371	+371 11.9%
65	AIR PRODS & CHEMS INC COM APD	APD	5,047	$1.4m0.44%	0.44%	Added +2.8k	+2,762 120.9%
66	QUALCOMM INC COM QCOM	QCOM	12,731	$1.4m0.43%	0.43%	Reduced -186	-186 -1.4%
67	LOCKHEED MARTIN CORP COM LMT	LMT	3,448	$1.4m0.43%	0.43%	Added +274	+274 8.6%
68	GOLDMAN SACHS ETF TR ACTIVEBETA US GSSC	GSSC	24,221	$1.4m0.41%	0.41%	Added +767	+767 3.3%
69	BROADCOM INC COM AVGO	AVGO	1,617	$1.3m0.41%	0.41%	Added +1.2k	+1,181 270.9%
70	SHELL PLC SPON ADS SHEL	SHEL	20,820	$1.3m0.41%	0.41%	Reduced -790	-790 -3.7%
71	MCDONALDS CORP COM MCD	MCD	4,984	$1.3m0.40%	0.40%	Added +86	+86 1.8%
72	NEXTERA ENERGY INC COM NEE	NEE	22,377	$1.3m0.39%	0.39%	Added +1.5k	+1,455 7.0%
73	BANK AMERICA CORP COM BAC	BAC	46,432	$1.3m0.39%	0.39%	Added +1.8k	+1,800 4.0%
74	BOEING CO COM BA	BA	6,491	$1.2m0.38%	0.38%	Added +250	+250 4.0%
75	FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV RDVY	RDVY	27,004	$1.2m0.38%	0.38%	Reduced -2.3k	-2,328 -7.9%
76	FLEXSHARES TR IBOXX 3R TARGT TDTT	TDTT	52,966	$1.2m0.37%	0.37%	Added +4.9k	+4,946 10.3%
77	INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF SPGP	SPGP	13,453	$1.2m0.37%	0.37%	Reduced -1.1k	-1,128 -7.7%
78	J P MORGAN EXCHANGE TRADED F US QUALTY FCTR JQUA	JQUA	28,201	$1.2m0.37%	0.37%	Added +2.3k	+2,334 9.0%
79	WASTE MGMT INC DEL COM WM	WM	7,946	$1.2m0.37%	0.37%	Added +5.2k	+5,199 189.3%
80	AMERICAN CENTY ETF TR INTL EQT ETF AVDE	AVDE	21,689	$1.2m0.37%	0.37%	Reduced -344	-344 -1.6%
81	FORTUNE BRANDS INNOVATIONS I COM FBIN	FBIN	18,095	$1.1m0.34%	0.34%	Reduced -9.3k	-9,338 -34.0%
82	ISHARES TR CORE DIV GRWTH DGRO	DGRO	22,352	$1.1m0.34%	0.34%	Reduced -2.7k	-2,664 -10.7%
83	AMERICAN TOWER CORP NEW COM AMT	AMT	6,712	$1.1m0.34%	0.34%	Added +132	+132 2.0%
84	IQVIA HLDGS INC COM IQV	IQV	5,600	$1.1m0.34%	0.34%	Unchanged
85	FIRST TR EXCHANGE-TRADED FD FT VEST RIS RDVI	RDVI	52,193	$1.1m0.33%	0.33%	Added +1.1k	+1,099 2.1%
86	FLEXSHARES TR MORNSTAR UPSTR GUNR	GUNR	27,061	$1.1m0.33%	0.33%	Reduced -366	-366 -1.3%
87	PEPSICO INC COM PEP	PEP	6,437	$1.1m0.33%	0.33%	Added +154	+154 2.5%
88	CIMPRESS PLC SHS EURO CMPR	CMPR	15,400	$1.1m0.33%	0.33%	Unchanged
89	BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT BEP	BEP	49,224	$1.1m0.33%	0.33%	Added +15	+15 0.0%
90	BERKSHIRE HATHAWAY INC DEL CL A BRK.A	BRK.A	2	$1.1m0.32%	0.32%	Unchanged
91	TRACTOR SUPPLY CO COM TSCO	TSCO	5,192	$1.1m0.32%	0.32%	Reduced -375	-375 -6.7%
92	SCHWAB STRATEGIC TR US LCAP GR ETF SCHG	SCHG	14,280	$1.0m0.32%	0.32%	Unchanged
93	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	2,944	$1.0m0.31%	0.31%	Added +8	+8 0.3%
94	ELEVANCE HEALTH INC COM ELV	ELV	2,349	$1.0m0.31%	0.31%	Added +258	+258 12.3%
95	SPDR GOLD TR GOLD SHS GLD	GLD	5,955	$1.0m0.31%	0.31%	Unchanged
96	BLACKROCK INC COM BLK	BLK	1,557	$1.0m0.31%	0.31%	Added +171	+171 12.3%
97	DIAMONDBACK ENERGY INC COM FANG	FANG	6,451	$999.1k0.30%	0.30%	Added +1.3k	+1,275 24.6%
98	DISNEY WALT CO COM DIS	DIS	12,316	$998.2k0.30%	0.30%	Added +1.1k	+1,136 10.2%
99	UNITED PARCEL SERVICE INC CL B UPS	UPS	6,350	$989.7k0.30%	0.30%	Added +769	+769 13.8%
100	AT&T INC COM T	T	65,610	$985.4k0.30%	0.30%	Added +4.3k	+4,333 7.1%

Sold out since Q2 2023

Security	Ticker	Shares held before	Value then
ADVANCE AUTO PARTS INC AAP	AAP	11,951	$840.2k12.0k shares
TERADYNE INC TER	TER	7,057	$785.7k7.1k shares
HASBRO INC HAS	HAS	11,734	$760.0k11.7k shares
SEALED AIR CORP NEW		15,098	$603.9k15.1k shares
TYSON FOODS INC TSN	TSN	10,645	$543.3k10.6k shares
INSPIRE MED SYS INC INSP	INSP	1,000	$324.6k1.0k shares
QUANTA SVCS INC PWR	PWR	1,500	$294.7k1.5k shares
ISHARES INC IEMG	IEMG	5,779	$284.8k5.8k shares
ISHARES TR IYW	IYW	2,577	$280.6k2.6k shares
KROGER CO KR	KR	5,400	$253.8k5.4k shares
COHERENT CORP COHR	COHR	4,644	$236.8k4.6k shares
MODERNA INC MRNA	MRNA	1,925	$233.9k1.9k shares
ADVANCED MICRO DEVICES INC AMD	AMD	1,935	$220.4k1.9k shares
DOMINION ENERGY INC D	D	4,185	$216.7k4.2k shares
TRAVELERS COMPANIES INC TRV	TRV	1,200	$208.4k1.2k shares