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
Neil O Abney
Feed of 09/14/2026
Also filed as Neil O Abney
At current firm
8 y
since Sep 14, 2018
In the industry
26 y
since Dec 2, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Sep 14, 2018 · Louisville, Ky
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 31, 2009 to Sep 18, 2018 · Louisville, Ky
- Wells Fargo Advisors wirehouseJan 1, 2008 to Aug 3, 2009 · Louisville, Ky
- A. G. Edwards & Sons, Inc. unclassifiedOct 28, 2003 to Jan 1, 2008 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Ameriprise Financial Services, LLCleft Sep 18, 2018, registered Sep 14, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- Wells Fargo Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 3, 2009, registered Jul 31, 2009 (-3 days) · Wirehouse to wirehouse
- A. G. Edwards & Sons, Inc. to Wells Fargo Advisorsleft Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address