Herold Advisors, Inc.

New York, NY · CIK 1891713 · 13F filing filed 2026-05-15

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

$455.3m reported value +1.8% vs Q4 2025

263positions

26.1%in top 10

23 new 116 added 81 reduced 7 sold out vs Q4 2025

Holdings, Q1 2026

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	83,949	$21.3m4.68%	4.68%	Added +2.0k	+2,050 2.5%
2	NVIDIA CORPORATION COM NVDA	NVDA	113,791	$19.8m4.36%	4.36%	Reduced -205	-205 -0.2%
3	MICROSOFT CORP COM MSFT	MSFT	36,636	$13.6m2.98%	2.98%	Added +338	+338 0.9%
4	EXXON MOBIL CORP COM XOM	XOM	65,330	$11.1m2.43%	2.43%	Reduced -257	-257 -0.4%
5	ELI LILLY & CO COM LLY	LLY	10,193	$9.4m2.06%	2.06%	Reduced -251	-251 -2.4%
6	AMERICAN CENTY ETF TR US EQT ETF AVUS	AVUS	84,322	$9.4m2.06%	2.06%	Added +4.1k	+4,102 5.1%
7	DIMENSIONAL ETF TRUST US EQUITY MARKET DFUS	DFUS	132,085	$9.4m2.06%	2.06%	Added +16.2k	+16,213 14.0%
8	WALMART INC COM WMT	WMT	70,475	$8.8m1.92%	1.92%	Reduced -336	-336 -0.5%
9	JPMORGAN CHASE & CO COM JPM	JPM	28,902	$8.5m1.87%	1.87%	Added +85	+85 0.3%
10	MASTERCARD INCORPORATED CL A MA	MA	15,793	$7.9m1.73%	1.73%	Added +426	+426 2.8%
11	ABBVIE INC COM ABBV	ABBV	35,090	$7.6m1.68%	1.68%	Unchanged
12	DIMENSIONAL ETF TRUST CORE FIXED INCOM DFCF	DFCF	173,993	$7.3m1.61%	1.61%	Added +16.9k	+16,932 10.8%
13	AMERICAN CENTY ETF TR AVANTIS CORE FI AVIG	AVIG	174,440	$7.2m1.59%	1.59%	Added +11.1k	+11,069 6.8%
14	ALPHABET INC CAP STK CL A GOOGL	GOOGL	24,907	$7.2m1.57%	1.57%	Reduced -1.0k	-1,045 -4.0%
15	AMERICAN CENTY ETF TR AVANTIS US LARG AVLC	AVLC	90,586	$7.0m1.54%	1.54%	Added +13.2k	+13,243 17.1%
16	VISA INC COM CL A V	V	22,655	$6.8m1.50%	1.50%	Added +410	+410 1.8%
17	CHEVRON CORP NEW COM CVX	CVX	27,492	$5.7m1.25%	1.25%	Reduced -493	-493 -1.8%
18	AMPHENOL CORP CL A APH	APH	40,788	$5.2m1.13%	1.13%	Added +2.7k	+2,688 7.1%
19	ISHARES TR ISHS 5-10YR INVT IGIB	IGIB	96,818	$5.2m1.13%	1.13%	Added +14.5k	+14,524 17.6%
20	FLEXSHARES TR CR SCD US BD SKOR	SKOR	98,157	$4.8m1.05%	1.05%	Added +14.6k	+14,587 17.4%
21	INTERNATIONAL BUSINESS MACHS COM IBM	IBM	19,616	$4.8m1.04%	1.04%	Added +333	+333 1.7%
22	AMAZON COM INC COM AMZN	AMZN	21,722	$4.5m0.99%	0.99%	Added +455	+455 2.1%
23	FLEXSHARES TR US QUALITY CAP QLC	QLC	56,744	$4.4m0.97%	0.97%	Added +6.0k	+5,989 11.8%
24	VERIZON COMMUNICATIONS INC COM VZ	VZ	86,347	$4.3m0.95%	0.95%	Added +2.1k	+2,121 2.5%
25	FLEXSHARES TR INT QLTDVDYNAM IQDY	IQDY	113,433	$4.3m0.94%	0.94%	Added +11.2k	+11,223 11.0%
26	DIMENSIONAL ETF TRUST INTERNATNAL VAL DFIV	DFIV	80,163	$4.2m0.93%	0.93%	Added +9.9k	+9,937 14.2%
27	HOME DEPOT INC COM HD	HD	12,807	$4.2m0.93%	0.93%	Added +155	+155 1.2%
28	META PLATFORMS INC CL A META	META	7,011	$4.0m0.88%	0.88%	Reduced -50	-50 -0.7%
29	ETF SER SOLUTIONS DISTILLATE US DSTL	DSTL	68,847	$4.0m0.88%	0.88%	Reduced -2.5k	-2,515 -3.5%
30	AMERICAN CENTY ETF TR INTL EQT ETF AVDE	AVDE	46,426	$3.9m0.87%	0.87%	Added +2.6k	+2,579 5.9%
31	MERCK & CO INC COM MRK	MRK	31,656	$3.8m0.84%	0.84%	Added +1.5k	+1,508 5.0%
32	J P MORGAN EXCHANGE TRADED F ULTRA SHRT ETF JPST	JPST	74,506	$3.8m0.83%	0.83%	Reduced -8.6k	-8,589 -10.3%
33	JOHNSON & JOHNSON COM JNJ	JNJ	15,405	$3.8m0.83%	0.83%	Added +271	+271 1.8%
34	TESLA INC COM TSLA	TSLA	10,121	$3.8m0.83%	0.83%	Added +576	+576 6.0%
35	SELECT SECTOR SPDR TR ENERGY XLE	XLE	59,555	$3.6m0.80%	0.80%	Reduced -2.4k	-2,442 -3.9%
36	BROOKFIELD INFRAST PARTNERS LP INT UNIT BIP	BIP	94,211	$3.4m0.75%	0.75%	Added +1.7k	+1,700 1.8%
37	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	59,879	$3.4m0.75%	0.75%	Added +1.4k	+1,447 2.5%
38	PROCTER AND GAMBLE CO COM PG	PG	23,395	$3.4m0.74%	0.74%	Reduced -1.4k	-1,403 -5.7%
39	AMERICAN CENTY ETF TR US SML CP VALU AVUV	AVUV	30,128	$3.3m0.73%	0.73%	Added +3.6k	+3,598 13.6%
40	WISDOMTREE TR US QUALITY GROW QGRW	QGRW	60,598	$3.2m0.71%	0.71%	Added +5.4k	+5,444 9.9%
41	INTUITIVE SURGICAL INC COM NEW ISRG	ISRG	6,450	$3.0m0.65%	0.65%	Unchanged
42	AT&T INC COM T	T	101,670	$2.9m0.65%	0.65%	Added +1.4k	+1,437 1.4%
43	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	6,146	$2.9m0.65%	0.65%	Added +341	+341 5.9%
44	CHUBB LIMITED COM CB	CB	9,019	$2.9m0.65%	0.65%	Added +1.4k	+1,389 18.2%
45	PHILLIPS 66 COM PSX	PSX	16,121	$2.9m0.64%	0.64%	Reduced -104	-104 -0.6%
46	AMERICAN CENTY ETF TR US LARGE CAP VLU AVLV	AVLV	35,473	$2.9m0.63%	0.63%	Added +3.1k	+3,143 9.7%
47	EATON CORP PLC SHS ETN	ETN	7,889	$2.8m0.62%	0.62%	Added +142	+142 1.8%
48	SPDR GOLD TR GOLD SHS GLD	GLD	6,284	$2.7m0.59%	0.59%	Unchanged
49	WISDOMTREE TR US QTLY DIV GRT DGRW	DGRW	29,154	$2.6m0.56%	0.56%	Reduced -2.3k	-2,308 -7.3%
50	COSTCO WHSL CORP NEW COM COST	COST	2,567	$2.6m0.56%	0.56%	Reduced -120	-120 -4.5%
51	CINTAS CORP COM CTAS	CTAS	15,092	$2.6m0.56%	0.56%	Unchanged
52	BROADCOM INC COM AVGO	AVGO	8,221	$2.5m0.56%	0.56%	Added +185	+185 2.3%
53	NEXTERA ENERGY INC COM NEE	NEE	26,990	$2.5m0.55%	0.55%	Added +3.3k	+3,288 13.9%
54	BROOKFIELD CORP CL A LTD VT SH BN	BN	62,014	$2.5m0.55%	0.55%	Unchanged
55	J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM JEPQ	JEPQ	43,533	$2.4m0.53%	0.53%	Added +1.7k	+1,665 4.0%
56	DIMENSIONAL ETF TRUST US CORE EQT MKT DFAU	DFAU	53,173	$2.4m0.53%	0.53%	Added +998	+998 1.9%
57	CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI CGDV	CGDV	51,841	$2.2m0.48%	0.48%	Added +856	+856 1.7%
58	BRISTOL-MYERS SQUIBB CO COM BMY	BMY	35,977	$2.2m0.48%	0.48%	Reduced -155	-155 -0.4%
59	LOCKHEED MARTIN CORP COM LMT	LMT	3,541	$2.1m0.47%	0.47%	Added +350	+350 11.0%
60	PFIZER INC COM PFE	PFE	75,030	$2.1m0.46%	0.46%	Added +3.6k	+3,642 5.1%
61	SHELL PLC SPON ADS SHEL	SHEL	21,822	$2.0m0.45%	0.45%	Added +7	+7 0.0%
62	ONEOK INC NEW COM OKE	OKE	22,251	$2.0m0.44%	0.44%	Reduced -2.0k	-1,996 -8.2%
63	ALPHABET INC CAP STK CL C GOOG	GOOG	6,899	$2.0m0.43%	0.43%	Added +75	+75 1.1%
64	RTX CORPORATION COM RTX	RTX	10,148	$2.0m0.43%	0.43%	Added +307	+307 3.1%
65	CONSOLIDATED EDISON INC COM ED	ED	17,230	$2.0m0.43%	0.43%	Reduced -8	-8 -0.1%
66	S&P GLOBAL INC COM SPGI	SPGI	4,535	$1.9m0.42%	0.42%	Unchanged
67	WISDOMTREE TR FLOATNG RAT TREA USFR	USFR	37,562	$1.9m0.42%	0.42%	Reduced -5.6k	-5,594 -13.0%
68	CATERPILLAR INC COM CAT	CAT	2,631	$1.9m0.41%	0.41%	Reduced -184	-184 -6.5%
69	INTUIT COM INTU	INTU	4,247	$1.8m0.40%	0.40%	Reduced -10	-10 -0.2%
70	SCHWAB STRATEGIC TR US LCAP GR ETF SCHG	SCHG	60,681	$1.8m0.39%	0.39%	Reduced -295	-295 -0.5%
71	AMERICAN CENTY ETF TR AVANTIS EMGMKT AVEM	AVEM	21,442	$1.7m0.38%	0.38%	Added +3.0k	+2,985 16.2%
72	QUALCOMM INC COM QCOM	QCOM	13,020	$1.7m0.37%	0.37%	Added +2	+2 0.0%
73	BANK AMERICA CORP COM BAC	BAC	33,827	$1.6m0.36%	0.36%	Added +1.2k	+1,151 3.5%
74	CORNING INC COM GLW	GLW	12,019	$1.6m0.36%	0.36%	Added +350	+350 3.0%
75	BOEING CO COM BA	BA	8,151	$1.6m0.36%	0.36%	Added +415	+415 5.4%
76	NUCOR CORP COM NUE	NUE	9,440	$1.6m0.35%	0.35%	Unchanged
77	ISHARES SILVER TR ISHARES SLV	SLV	23,162	$1.6m0.35%	0.35%	Added +297	+297 1.3%
78	J P MORGAN EXCHANGE TRADED F INCOME ETF JPIE	JPIE	33,659	$1.6m0.34%	0.34%	Reduced -894	-894 -2.6%
79	MCDONALDS CORP COM MCD	MCD	4,960	$1.5m0.34%	0.34%	Reduced -9	-9 -0.2%
80	DEERE & CO COM DE	DE	2,704	$1.5m0.33%	0.33%	Added +1	+1 0.0%
81	GOLDMAN SACHS GROUP INC COM GS	GS	1,786	$1.5m0.33%	0.33%	Added +15	+15 0.8%
82	J P MORGAN EXCHANGE TRADED F EQUITY FOCUS ETF JPEF	JPEF	20,965	$1.5m0.33%	0.33%	Added +3.1k	+3,057 17.1%
83	PROLOGIS INC. COM PLD	PLD	11,203	$1.5m0.33%	0.33%	Added +10	+10 0.1%
84	CISCO SYS INC COM CSCO	CSCO	18,988	$1.5m0.32%	0.32%	Added +20	+20 0.1%
85	GOLDMAN SACHS ETF TR ACTIVEBETA US LG GSLC	GSLC	11,742	$1.5m0.32%	0.32%	Reduced -2.2k	-2,200 -15.8%
86	BNY MELLON ETF TRUST US LRG CP CORE BKLC	BKLC	11,170	$1.4m0.31%	0.31%	Reduced -370	-370 -3.2%
87	MORGAN STANLEY COM NEW MS	MS	8,168	$1.3m0.30%	0.30%	Added +1	+1 0.0%
88	GE AEROSPACE COM NEW GE	GE	4,592	$1.3m0.29%	0.29%	Added +1.2k	+1,250 37.4%
89	ABBOTT LABS COM ABT	ABT	12,502	$1.3m0.28%	0.28%	Added +12	+12 0.1%
90	KLA CORP COM NEW KLAC	KLAC	869	$1.3m0.28%	0.28%	Reduced -144	-144 -14.2%
91	AMGEN INC COM AMGN	AMGN	3,624	$1.3m0.28%	0.28%	Reduced -47	-47 -1.3%
92	WISDOMTREE TR US EFFICIENT COR NTSX	NTSX	24,000	$1.3m0.27%	0.27%	Reduced -1.0k	-1,000 -4.0%
93	PUBLIC SVC ENTERPRISE GRP IN COM PEG	PEG	15,149	$1.2m0.27%	0.27%	Added +760	+760 5.3%
94	NETFLIX INC COM NFLX	NFLX	12,470	$1.2m0.26%	0.26%	Added +1.3k	+1,292 11.6%
95	LAM RESEARCH CORP COM NEW LRCX	LRCX	5,581	$1.2m0.26%	0.26%	Reduced -1.8k	-1,848 -24.9%
96	NIKE INC CL B NKE	NKE	21,999	$1.2m0.26%	0.26%	Added +456	+456 2.1%
97	FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV RDVY	RDVY	16,718	$1.1m0.25%	0.25%	Reduced -199	-199 -1.2%
98	BP PLC SPONSORED ADR BP	BP	23,672	$1.1m0.24%	0.24%	Reduced -62	-62 -0.3%
99	SPDR SER TR BBG CONV SEC ETF CWB	CWB	11,925	$1.1m0.24%	0.24%	Unchanged
100	AMERICAN CENTY ETF TR AVANTIS US MID C AVMV	AVMV	14,581	$1.1m0.24%	0.24%	Added +1.9k	+1,901 15.0%

Sold out since Q4 2025

Security	Ticker	Shares held before	Value then
SALESFORCE INC CRM	CRM	1,872	$495.9k1.9k shares
UBER TECHNOLOGIES INC UBER	UBER	3,100	$253.3k3.1k shares
UNITED RENTALS INC URI	URI	300	$242.8k300 shares
AXON ENTERPRISE INC AXON	AXON	395	$224.3k395 shares
BLACKROCK MUNIHLDGS NY QLTY		21,759	$222.6k21.8k shares
KRAFT HEINZ CO KHC	KHC	9,000	$218.3k9.0k shares
D-WAVE QUANTUM INC QBTS	QBTS	8,000	$209.2k8.0k shares