# Herrick Portfolio Management Co.

> 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.

- CRD: 145095
- Filed as: HERRICK PORTFOLIO MANAGEMENT CO.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Ohio
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/145095
- AdvisorCensus page: https://advisorcensus.com/firm/herrick-portfolio-management-co-145095

## Quick answers

**How is Herrick Portfolio Management Co. compensated?**
On its Form ADV (Item 5.E, October 2026), Herrick Portfolio Management Co. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Herrick Portfolio Management Co. registered with the SEC or a state?**
Herrick Portfolio Management Co. is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 145095.

**How much does Herrick Portfolio Management Co. manage?**
Herrick Portfolio Management Co. reports $527,594 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**What types of clients does Herrick Portfolio Management Co. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (12).

**Does Herrick Portfolio Management Co. report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $527,594
- Discretionary: $527,594
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 12 | $527,594 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2012 (14 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: OH
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(5): 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?
- 11.H(2): 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)?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/145095

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Herrick Portfolio Management Co. (CRD 145095): Form ADV filing data as of October 2026.