DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Herbert Frederick Allen
Feed of 09/14/2026
Also filed as Herbert F Allen
At current firm
1 y
since Sep 3, 2025
In the industry
34 y
since Oct 1, 1991 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Packerland Brokerage Services, Inc. independent RIA currentsince Sep 3, 2025 · Green Bay, Wi
- Harbour Investments, Inc. independent RIASep 9, 2019 to Dec 31, 2024 · Rockford, Il
- Summit Financial Group Inc formerJan 23, 2012 to Aug 26, 2019 · Rockford, Il
- J. W. Cole Advisors, Inc. BD affiliatedMar 15, 2011 to Feb 15, 2012 · Tampa, Fl
- Summit Financial Group Inc formerMay 26, 2006 to Mar 15, 2011 · Rockford, Il
- Transamerica Financial Advisors, LLC BD affiliatedSep 1, 2004 to Jun 19, 2006 · Rockford, Il
- Voya Financial Advisors, Inc. BD affiliatedMar 1, 2004 to Sep 21, 2004 · Rockford, Il
Moves
a registration end followed by a registration begin elsewhere
- Harbour Investments, Inc. to Packerland Brokerage Services, Inc.left Dec 31, 2024, registered Sep 3, 2025 (246 days) · RIA to RIA
- Summit Financial Group Inc to Harbour Investments, Inc.left Aug 26, 2019, registered Sep 9, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
- J. W. Cole Advisors, Inc. to Summit Financial Group Incleft Feb 15, 2012, registered Jan 23, 2012 (-23 days) · Other
- Summit Financial Group Inc to J. W. Cole Advisors, Inc.left Mar 15, 2011, registered Mar 15, 2011 (0 days) · Other
- Transamerica Financial Advisors, LLC to Summit Financial Group Incleft Jun 19, 2006, registered May 26, 2006 (-24 days) · Other
- Voya Financial Advisors, Inc. to Transamerica Financial Advisors, LLCleft Sep 21, 2004, registered Sep 1, 2004 (-20 days) · Other
Signals
- Herbert Frederick Allen left Harbour Investments, Inc. for Packerland Brokerage Services, Inc. (registered 2025-09-03)Dec 31, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address