HEROLD ADVISORS, INC.

CRD #105090 SEC #801-11216 NEW YORK, NY 212-371-3950

SEC Registered Broker-Dealer Disclosures

Total AUM

$489.7M

Discretionary

$489.7M

Employees

Clients

Accounts

523

This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type: Corporation
State of Formation: New York
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Dec 18, 2025
Branch Offices: 2

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
COLLETTI, LAURA, MARIE	I	CHIEF FINANCIAL OFFICER	NA
HEROLD, BERNARD	I	CHB, DIRECTOR	NA	Control
HEROLD, BERNARD	I	CHB, DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
HEROLD, TRESSA	I	SEC/TREAS/DIRECTOR	NA	Control
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
PACHT, HENRY, STEVEN	I	VICE PRESIDENT	NA
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
SHEFTEL, WENDY, DIANE	I	PERCHERON - SHAREHOLDER	NA	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
PERCHERON ASSET MANAGEMENT GROUP, INC.	DE	HOLDING COMPANY	E	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	STOCKHOLDER	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, COO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, LAWRENCE, STEPHEN	I	HEROLD ADVISORS - PRESIDENT, DIRECTOR, CEO, CHIEF LEGAL OFFICER, CCO	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON CEO AND SECRETARY	C	Control
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	SECRETARY	C
HEROLD, PAULA, MARGARET	I	DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	STOCKHOLDER	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS, INC - SECRETARY	C
HEROLD, PAULA, MARGARET	I	HEROLD ADVISORS - DIRECTOR, TREASURER	C
HEROLD, PAULA, MARGARET	I	PERCHERON SHAREHOLDER	C	Control
LANTON, BARBARA, PATRICIA	I	PERCHERON SHAREHOLDER	B
LANTON, BARBARA, PATRICIA	I	PERCHERON SHAREHOLDER	B
LANTON, KEITH, MICHAEL	I	HEROLD ADVISORS, INC. CHIEF OPERATING OFFICER	B	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control
LANTON, KEITH, MICHAEL	I	PERCHERON PRESIDENT AND TREASURER	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, LAWRENCE, STEPHEN	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C	Control
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C
HEROLD, PAULA, MARGARET	I	PERCHERON ASSET MANAGEMENT GROUP, INC.	C

Registrations

Federal

Dec 18, 2025 REGISTERED

Notice Filings (9)

CA CT FL MA NJ NY PA SC VA

Address

845 THIRD AVENE SUITE 1703
NEW YORK, NY 10022-7513
United States

Phone: 212-371-3950