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

Brian S Herring

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseEugene, Ordual registrantIAPD 6952594

Feed of 09/14/2026

Also filed as Brian Scott Herring

At current firm

3 y

since Jul 10, 2023

In the industry

10 y

since Sep 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse current
since Jul 10, 2023 · Eugene, Or
State Farm Investment Management Corp. asset manager
May 10, 2023 to Jun 14, 2023 · Roseburg, Or
Mariner BD affiliated
Aug 2, 2022 to Jan 3, 2023 · Eugene, Or
Wells Fargo Advisors wirehouse
May 17, 2021 to Aug 3, 2022 · Vancouver, Wa
Edward Jones national BD
Sep 7, 2018 to Jan 9, 2020 · Central Point, Or

Moves

a registration end followed by a registration begin elsewhere

State Farm Investment Management Corp. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jun 14, 2023, registered Jul 10, 2023 (26 days) · Other
Mariner to State Farm Investment Management Corp.
left Jan 3, 2023, registered May 10, 2023 (127 days) · Other
Wells Fargo Advisors to Mariner
left Aug 3, 2022, registered Aug 2, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
Edward Jones to Wells Fargo Advisors
left Jan 9, 2020, registered May 17, 2021 (494 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Brian S Herring left State Farm Investment Management Corp. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-07-10)
Jun 14, 2023 · Advisor changed firm · fact
Brian S Herring left Mariner for State Farm Investment Management Corp. (registered 2023-05-10)
Jan 3, 2023 · Advisor changed firm · fact
Brian S Herring left Wells Fargo Advisors for Mariner (registered 2022-08-02)
Aug 3, 2022 · 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address