H
Herrick Portfolio Management Co.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$527,594
Clients
12
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
12
LowAverage account size
$43,966
About
The firm provides financial planning, consulting, and portfolio management services to individual investors and a small number of institutional clients, including pension and profit‑sharing plans, trusts, and business entities. It manages approximately $527,594 across about a dozen client relationships and generally bills on a percentage‑of‑assets basis.
The firm’s investment process is centered on technical analysis, with a long‑standing use of point‑and‑figure charting to select and time allocations among individual equities, ETFs, mutual funds and fixed‑income securities. Portfolios are typically managed on a discretionary basis, monitored daily for trend changes, and may employ inverse instruments or margin when the charts indicate downtrends; assets are custodied at Schwab with quarterly reviews and supplemental reports.
Distinctive aspects include the combination of a solo‑advisor practice with institutional clients and a very small client base and asset size, a mix that is uncommon among independent advisers. The firm’s brochure also discloses prior disclosure events: a 2019 civil suit resolved by a stipulated judgment of $100,000 and a 1992 arbitration award, and it notes that fees may be debited from client accounts (resulting in deemed custody) and that the firm does not vote client proxies.
Client services
Portfolio management
Expertise
Passive / index investing
Active portfolio management
Fee options
$0+: 0.50% +: up to 3.00%
Main office location
Herrick Portfolio Management Co.
Mayfield Heights OH, United States
Number of offices
1
Most active in
Herrick Portfolio Management Co. has reported serving >5 clients in these states in the last 12 months.
Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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