{
  "crd_number": 145095,
  "slug": "herrick-portfolio-management-co-145095",
  "primary_business_name": "HERRICK PORTFOLIO MANAGEMENT CO.",
  "legal_name": "HERRICK PORTFOLIO MANAGEMENT CO.",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2012-05-24",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 527594.0,
  "raum_discretionary": 527594.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 527594.0,
      "count": 12
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "OH"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/145095",
  "listing_state": "OH",
  "disclosure_items": [
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/herrick-portfolio-management-co-145095",
  "display_name": "Herrick Portfolio Management Co.",
  "summary": "Herrick Portfolio Management Co. is a state-registered investment advisory firm, registered since 2012, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Herrick Portfolio Management Co. (CRD 145095): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Herrick Portfolio Management Co. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Herrick Portfolio Management Co. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Is Herrick Portfolio Management Co. registered with the SEC or a state?",
      "a": "Herrick Portfolio Management Co. is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 145095."
    },
    {
      "q": "How much does Herrick Portfolio Management Co. manage?",
      "a": "Herrick Portfolio Management Co. reports $527,594 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Herrick Portfolio Management Co. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (12)."
    },
    {
      "q": "Does Herrick Portfolio Management Co. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction) and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/145095"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/herrick-portfolio-management-co-145095.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 527594.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/145095",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}