# HEROLD ADVISORS, INC.

HEROLD ADVISORS, INC. of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 105090
- Type: SEC-registered investment adviser
- SEC file number: 801-11216
- Location: 711 3RD AVENUE  SUITE 1802, NEW YORK, NY, 10017
- Phone: 212-371-3950
- Latest filing: 2026-07-02
- Regulatory AUM: $540.2M
- Discretionary AUM: $540.2M
- Clients: 9
- Accounts: 563

## Business model

- Compensation: % of AUM, Other
- Clients served: High net worth, Pooled vehicles, Corporations

## Officers, owners & control persons (14)

| Name | Role | Location |
| --- | --- | --- |
| Lawrence Stephen Herold | HEROLD ADVISORS - PRESIDENT,  DIRECTOR, CEO, CHIEF LEGAL OFFICER, CCO; HEROLD ADVISORS - PRESIDENT,  DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO; PERCHERON CEO AND SECRETARY (+1 more) | — |
| Paula Margaret Herold | HEROLD ADVISORS - DIRECTOR, TREASURER; HEROLD ADVISORS, INC - SECRETARY; PERCHERON SHAREHOLDER (+1 more) | — |
| Keith Michael Lanton | HEROLD ADVISORS, INC. CHIEF OPERATING OFFICER; PERCHERON PRESIDENT AND TREASURER | — |
| Wendy Diane Sheftel | PERCHERON - SHAREHOLDER | — |
| HEROLD TRESSA | SEC/TREAS/DIRECTOR | — |
| HEROLD LAWRENCE STEPHEN | HEROLD ADVISORS - PRESIDENT,  DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO; PERCHERON CEO AND SECRETARY; PRESIDENT, DIRECTOR (+3 more) | — |
| HEROLD PAULA MARGARET | DIRECTOR, TREASURER; HEROLD ADVISORS - DIRECTOR, TREASURER; HEROLD ADVISORS, INC - SECRETARY (+4 more) | — |
| COLLETTI LAURA MARIE | CHIEF FINANCIAL OFFICER | — |
| PACHT HENRY STEVEN | VICE PRESIDENT | — |
| HEROLD BERNARD | CHB, DIRECTOR | — |
| ALCOSSER ALBERT | VICE PRESIDENT | — |
| LANTON KEITH MICHAEL | PERCHERON PRESIDENT AND TREASURER | — |
| SHEFTEL WENDY DIANE | PERCHERON - SHAREHOLDER | — |
| LANTON BARBARA PATRICIA | PERCHERON SHAREHOLDER | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Branch offices (2)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| MELVILLE | NY | 15 | 631-454-2000 |
| STATEN ISLAND | NY | 3 | 7187201600 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105090/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105090/similar
- Related entities: https://search.stillhousedata.com/firm/105090/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105090

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.