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Herold Advisors, Inc. — 13F Holdings & Portfolio

CIK 1891713 · latest 13F-HR filed 2026-07-22

Backtest portfolio

Herold Advisors, Inc. manages $505.9M in 13F-reported U.S. long-equity assets across 273 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are AAPL (4.72%), NVDA (4.51%), MSFT (2.75%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 18 new positions and exited 8; 157 existing positions rose in reported value and 56 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$505.9M

Long-equity book

Holdings
273

Distinct positions

Period
2026-06-30

Filed 2026-07-22

Q/Q Activity
+18 / −8 / ↑157 / ↓56

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
AAPL4.7% · -2%NVDA4.5% · +0%MSFT2.8% · +2%LLY2.5% · +4%DFUS2.4% · +13%AVUS2.1% · -4%AVLC1.9% · +20%JPM1.9% · +1%GOOGL1.8% · +1%XOM1.8% · +0%ABBV1.7% · +0%MA1.6% · +1%WMT1.6% · -0%DFCF1.6% · +8%AVIG1.5% · +8%V1.5% · -2%APH1.4% · -0%IGIB1.2% · +13%QLC1.1% · +14%IBM1.1% · +1%IQDY1.1% · +14%SKOR1.1% · +12%AMZN1.0% · -1%CVX1.0% · +8%DFIV1.0% · +12%HD0.9% · +2%QGRW0.9% · +11%TSLA0.9% · +2%META0.8% · +4%MRK0.8% · -0%AVDE0.8% · -3%AVUV0.8% · +6%VZ0.8% · +6%JNJ0.8% · -1%AVLV0.7% · +16%JEPI0.7% · +5%JPST0.7% · -9%PG0.7% · -2%BIP0.6% · -4%ETN0.6% · -3%BRK.B0.6% · +4%XLE0.6% · -0%CB0.6% · 0%AVGO0.6% · -3%DSTL0.6% · -28%JEPQ0.6% · +10%GLW0.6% · -5%DFAU0.6% · +2%CGDV0.5% · +8%PSX0.5% · -2%CAT0.5% · -5%BN0.5% · 0%CTAS0.5% · 0%ISRG0.5% · 0%DGRW0.5% · -12%GOOG0.5% · +0%COST0.5% · +1%NEE0.5% · +1%KLAC0.5% · +804%LRCX0.5% · -2%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 26.3%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Sep 10, 2026.

Assets Under Management
$540.2M
Discretionary
$540.2M
Employees
9
Accounts
563
Address
711 3RD AVENUE SUITE 1802
NEW YORK, NY 10017
Phone
(212) 371-3950
Website
This firm reports 1 disclosure item on its registration.
Name Title / Status Ownership Type
HEROLD, LAWRENCE, STEPHEN ControlHEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, CHIEF LEGAL OFFICER, CCO
since Dec 1980
25–50%Individual
HEROLD, LAWRENCE, STEPHEN ControlPERCHERON CEO AND SECRETARY
since Nov 2020
25–50%Individual
HEROLD, PAULA, MARGARET ControlPERCHERON SHAREHOLDER
since Nov 2020
25–50%Individual
LANTON, KEITH, MICHAEL ControlPERCHERON PRESIDENT AND TREASURER
since Nov 2020
5–10%Individual
LANTON, KEITH, MICHAEL ControlHEROLD ADVISORS, INC. CHIEF OPERATING OFFICER
since Dec 2025
10–25%Individual
PERCHERON ASSET MANAGEMENT GROUP, INC. ControlHOLDING COMPANY
since Nov 2020
75% or moreDomestic Entity
SHEFTEL, WENDY, DIANE ControlPERCHERON - SHAREHOLDER
since Nov 2020
Less than 5%Individual
HEROLD, PAULA, MARGARETHEROLD ADVISORS, INC - SECRETARY
since Jun 2015
25–50%Individual
HEROLD, PAULA, MARGARETHEROLD ADVISORS - DIRECTOR, TREASURER
since Dec 2015
25–50%Individual
HEROLD, LAWRENCE, STEPHEN Control
Indirect owner via PERCHERON ASSET MANAGEMENT GROUP, INC.
SHAREHOLDER
since Nov 2020
25–50%Individual
HEROLD, PAULA, MARGARET
Indirect owner via PERCHERON ASSET MANAGEMENT GROUP, INC.
SHAREHOLDER
since Nov 2020
25–50%Individual
Ownership & leadership changes · 8 filings with changes since Feb 15, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Dec 18, 2025 filing
  • ChangedHEROLD, LAWRENCE, STEPHEN · title HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO / PERCHERON CEO AND SECRETARY → HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, CHIEF LEGAL OFFICER, CCO / PERCHERON CEO AND SECRETARY
  • ChangedLANTON, KEITH, MICHAEL · title PERCHERON PRESIDENT AND TREASURER → HEROLD ADVISORS, INC. CHIEF OPERATING OFFICER / PERCHERON PRESIDENT AND TREASURER; ownership 5–10% → 10–25%
Nov 24, 2020 filing
  • No longer listedLANTON, BARBARA, PATRICIA · PERCHERON SHAREHOLDER · 10–25% · listed since Nov 2020
  • AddedHEROLD, LAWRENCE, STEPHEN · SHAREHOLDER · 25–50% · indirect via PERCHERON ASSET MANAGEMENT GROUP, INC. · control person
  • AddedHEROLD, PAULA, MARGARET · SHAREHOLDER · 25–50% · indirect via PERCHERON ASSET MANAGEMENT GROUP, INC.
  • ChangedHEROLD, PAULA, MARGARET · now a control person
Nov 17, 2020 filing
  • AddedLANTON, BARBARA, PATRICIA · PERCHERON SHAREHOLDER · 10–25%
  • AddedLANTON, KEITH, MICHAEL · PERCHERON PRESIDENT AND TREASURER · 5–10% · control person
  • AddedPERCHERON ASSET MANAGEMENT GROUP, INC. · HOLDING COMPANY · 75% or more · control person
  • AddedSHEFTEL, WENDY, DIANE · PERCHERON - SHAREHOLDER · Less than 5% · control person
  • ChangedHEROLD, LAWRENCE, STEPHEN · title PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER / STOCKHOLDER → HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO / PERCHERON CEO AND SECRETARY
  • ChangedHEROLD, PAULA, MARGARET · title DIRECTOR, TREASURER / SECRETARY / STOCKHOLDER → HEROLD ADVISORS - DIRECTOR, TREASURER / HEROLD ADVISORS, INC - SECRETARY / PERCHERON SHAREHOLDER
Oct 9, 2020 filing
  • No longer listedCOLLETTI, LAURA, MARIE · CHIEF FINANCIAL OFFICER · Less than 5% · listed since Feb 2005
Mar 23, 2017 filing
  • No longer listedPACHT, HENRY, STEVEN · VICE PRESIDENT · Less than 5% · listed since Sep 2006
Mar 21, 2016 filing
  • ChangedHEROLD, LAWRENCE, STEPHEN · title PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER → PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER / STOCKHOLDER
  • ChangedHEROLD, PAULA, MARGARET · title SECRETARY → DIRECTOR, TREASURER / SECRETARY / STOCKHOLDER
Jun 18, 2015 filing
  • ChangedHEROLD, PAULA, MARGARET · title STOCKHOLDER → SECRETARY
Jun 15, 2015 filing
  • No longer listedHEROLD, TRESSA · SEC/TREAS/DIRECTOR · Less than 5% · control person · listed since Apr 1976
Feb 15, 2012 filing (earliest on record)
  • ListedCOLLETTI, LAURA, MARIE · CHIEF FINANCIAL OFFICER · Less than 5%
  • ListedHEROLD, LAWRENCE, STEPHEN · PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER · 25–50% · control person
  • ListedHEROLD, PAULA, MARGARET · STOCKHOLDER · 25–50%
  • ListedHEROLD, TRESSA · SEC/TREAS/DIRECTOR · Less than 5% · control person
  • ListedPACHT, HENRY, STEVEN · VICE PRESIDENT · Less than 5%

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 157 →

Top Trims

Show all 56 →

New Positions

Show all 18 →

Exited Positions

Show all 8 →

Herold Advisors, Inc. Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 APPLE INC AAPL 037833100 $23.9M 4.72% 82,587 SH
2 NVIDIA CORPORATION NVDA 67066G104 $22.8M 4.51% 114,077 SH
3 MICROSOFT CORP MSFT 594918104 $13.9M 2.75% 37,327 SH
4 ELI LILLY & CO LLY 532457108 $12.7M 2.50% 10,550 SH
5 DIMENSIONAL ETF TRUST DFUS 25434V401 $12.2M 2.41% 148,859 SH
6 AMERICAN CENTY ETF TR AVUS 025072885 $10.4M 2.06% 81,375 SH
7 AMERICAN CENTY ETF TR AVLC 025072158 $9.8M 1.93% 108,644 SH
8 JPMORGAN CHASE & CO JPM 46625H100 $9.6M 1.89% 29,211 SH
9 ALPHABET INC GOOGL 02079K305 $9.0M 1.77% 25,060 SH
10 EXXON MOBIL CORP XOM 30231G102 $8.9M 1.77% 65,431 SH
11 ABBVIE INC ABBV 00287Y109 $8.8M 1.75% 35,123 SH
12 MASTERCARD INCORPORATED MA 57636Q104 $8.2M 1.61% 15,902 SH
13 WALMART INC WMT 931142103 $8.0M 1.58% 70,340 SH
14 DIMENSIONAL ETF TRUST DFCF 25434V872 $7.9M 1.57% 188,195 SH
15 AMERICAN CENTY ETF TR AVIG 025072562 $7.8M 1.54% 188,219 SH
16 VISA INC V 92826C839 $7.6M 1.51% 22,213 SH
17 AMPHENOL CORP APH 032095101 $7.2M 1.42% 40,777 SH
18 ISHARES TR IGIB 464288638 $5.8M 1.15% 109,570 SH
19 FLEXSHARES TR QLC 33939L746 $5.8M 1.15% 64,695 SH
20 INTERNATIONAL BUSINESS MACHS IBM 459200101 $5.5M 1.10% 19,748 SH
21 FLEXSHARES TR IQDY 33939L829 $5.5M 1.09% 128,882 SH
22 FLEXSHARES TR SKOR 33939L761 $5.3M 1.05% 109,600 SH
23 AMAZON COM INC AMZN 023135106 $5.2M 1.02% 21,589 SH
24 CHEVRON CORPORATION CVX 166764100 $4.9M 0.97% 29,727 SH
25 DIMENSIONAL ETF TRUST DFIV 25434V807 $4.8M 0.95% 89,364 SH
26 HOME DEPOT INC HD 437076102 $4.6M 0.91% 13,017 SH
27 WISDOMTREE TR QGRW 97717Y477 $4.5M 0.88% 67,404 SH
28 TESLA INC TSLA 88160R101 $4.3M 0.85% 10,280 SH
29 META PLATFORMS INC META 30303M102 $4.1M 0.81% 7,259 SH
30 MERCK & CO INC MRK 58933Y105 $4.1M 0.80% 31,620 SH
31 AMERICAN CENTY ETF TR AVDE 025072703 $4.0M 0.79% 44,832 SH
32 AMERICAN CENTY ETF TR AVUV 025072877 $4.0M 0.78% 31,860 SH
33 VERIZON COMMUNICATIONS INC VZ 92343V104 $3.9M 0.77% 91,531 SH
34 JOHNSON & JOHNSON JNJ 478160104 $3.9M 0.77% 15,267 SH
35 AMERICAN CENTY ETF TR AVLV 025072349 $3.8M 0.74% 41,231 SH
36 J P MORGAN EXCHANGE TRADED F JEPI 46641Q332 $3.5M 0.70% 62,700 SH
37 J P MORGAN EXCHANGE TRADED F JPST 46641Q837 $3.4M 0.68% 67,880 SH
38 PROCTER & GAMBLE CO PG 742718109 $3.4M 0.66% 22,951 SH
39 BROOKFIELD INFRASTRUCTURE PA BIP G16252101 $3.3M 0.65% 90,061 SH
40 EATON CORP PLC ETN G29183103 $3.3M 0.64% 7,649 SH
41 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $3.2M 0.63% 6,404 SH
42 SELECT SECTOR SPDR TR XLE 81369Y506 $3.1M 0.62% 59,269 SH
43 CHUBB LIMITED CB H1467J104 $3.1M 0.61% 9,020 SH
44 BROADCOM INC AVGO 11135F101 $3.0M 0.59% 7,946 SH
45 ETF SER SOLUTIONS DSTL 26922A321 $3.0M 0.58% 49,321 SH
46 J P MORGAN EXCHANGE TRADED F JEPQ 46654Q203 $2.9M 0.58% 47,728 SH
47 CORNING INC GLW 219350105 $2.9M 0.58% 11,415 SH
48 DIMENSIONAL ETF TRUST DFAU 25434V104 $2.8M 0.55% 54,267 SH
49 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $2.8M 0.55% 56,091 SH
50 PHILLIPS 66 PSX 718546104 $2.7M 0.53% 15,842 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-07-22 $505.9M 273 0001172661-26-002737
2026-03-31 2026-05-15 $455.3M 263 0001172661-26-001982
2025-12-31 2026-02-17 $447.5M 247 0001172661-26-001090
2025-09-30 2025-11-13 $431.5M 248 0001172661-25-004762
Filer Information
Address
711 THIRD AVENUE
SUITE 1802
NEW YORK, NY 10017
Phone
(212) 371-3950
Filing Manager
Herold Advisors, Inc.
New York, NY
Signatory
Larry Herold
Chief Operating Officer