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
Brad Allan Herman
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
5 y
since Mar 24, 2021
In the industry
18 y
since Oct 31, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Mar 24, 2021 · Barrington, Il
- Bmo Harris Financial Advisors, Inc formerJul 22, 2019 to Mar 24, 2021 · Barrington, Il
- Mutual Advisors, LLC BD affiliatedFeb 12, 2018 to May 31, 2019 · San Francisco, Ca
- Investacorp Advisory Services Inc formerSep 15, 2016 to Feb 9, 2018 · Seattle, Wa
- Centara Capital Management Group, Inc. formerOct 31, 2007 to Mar 3, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Bmo Harris Financial Advisors, Inc to LPL Financial LLCleft Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- Mutual Advisors, LLC to Bmo Harris Financial Advisors, Incleft May 31, 2019, registered Jul 22, 2019 (52 days) · Affiliated broker-dealer or bank to another
- Investacorp Advisory Services Inc to Mutual Advisors, LLCleft Feb 9, 2018, registered Feb 12, 2018 (3 days) · Other
- Centara Capital Management Group, Inc. to Investacorp Advisory Services Incleft Mar 3, 2009, registered Sep 15, 2016 (2753 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address