Staten Island, NY Office

Herold Advisors, Inc. provides portfolio management services to individuals, business entities, trusts, estates, pension and profit‑sharing plans, foundations and other U.S. institutions through a managed account program on both discretionary and non‑discretionary bases. The firm’s advisory activity is limited to equities, fixed income, mutual funds, ETFs and money market instruments and, for some clients, may include writing covered call options.

Herold begins by assessing a client’s investment objectives and risk tolerance and then tailors allocations among equity and fixed income with an emphasis on domestic large‑ and mid‑cap securities, occasional foreign exposure and municipal or corporate bonds; security selection uses computer screening and fundamental analysis. Portfolio managers review accounts on a periodic basis, and clients receive quarterly account evaluations along with a written quarterly market commentary.

The firm is affiliated with a broker‑dealer (Herold & Lantern Investments, Inc.) and an insurance agency, conducts brokerage activity through the affiliate, and discloses revenue arrangements such as 12b‑1 fees, marketing assistance payments from sweep programs and referral compensation that can create conflicts of interest; these arrangements and referral agreements are described in its brochure and overseen by the firm’s Code of Ethics. Herold does not offer standalone financial planning services and generally leaves proxy voting to clients, as set forth in its disclosures.