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.
SEC-registered adviser
Abner Herrman & Brock, LLC
Latest filing Jun 9, 2026
First filing on the tape Feb 17, 2012 · 37 filings
SEC status approved since Jul 9, 1982
RAUM
$2.7B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
86%
$2.3B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$547M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.7B as of Jun 9, 2026
Feb 17, 2012$849M then
HNW client RAUM$2.3B as of Jun 9, 2026
Mar 13, 2018$1.5B then
State-registered IARs (5.B.3)6 as of Jun 9, 2026
Mar 4, 20135 then
Employees (5.A)13 as of Jun 9, 2026
Mar 4, 20139 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $547MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 450derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B86%
- Corporations and businesses$244M8.9%
- Charitable organizations$120M4.4%
- Pension and profit-sharing plans$28.2M1.0%
- Individuals$950,7620.0%
- Individual clients
- 5reported
- HNW clients
- 2,246reported
- Pension plan clients
- 16reported
- Charitable clients
- 54reported
- Accounts
- 2,403reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Caryn Jill Zweig | Jersey City, Nj | Sep 9, 2004 | 35 y | 0 |
| Bryan L DidonatoChartered Financial Analyst | Jersey City, Nj | Jan 5, 2024 | 21 y | 0 |
| Matthew James Flood | Jersey City, Nj | Jan 9, 2024 | 16 y | 2 |
| Bindia Rakesh Rosas | Jersey City, Nj | Jan 9, 2024 | 19 y | 0 |
| David Jonathan Linsen | Jersey City, Nj | Jan 17, 2024 | 29 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Kevin Eric Strauss to Advisors Capital Management, LLCOct 1, 2019 · RIA to RIA
- Jason Richard Graybill to Carret Asset Management, LLCJun 16, 2008 · Other
- Neil Douglas Klein to Carret Asset Management, LLCJun 16, 2008 · Other
Joined, latest
- David Jonathan Linsen from Summit Financial, LLCOct 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- Matthew James Flood from Morgan StanleyOct 25, 2011 · Other
- Neil Douglas Klein from Cibc World Markets Corp.Aug 4, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Howard Jerome Abner · Chief Compliance Officercontrolsince 01/2007 · owns less than 5%
- Howard Jerome Abner · Shareholdercontrolsince 01/2007 · owns 75% or more of Abner, Herrman & Brock, Inc.
- Caryn Jill Zweig · Chief Executive Officer Abner Trustsince 01/2013 · owns less than 5%
Entity owners
- Abner, Herrman & Brock, Inc. · Memberdirect · owns less than 5%
- Abner Trust · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jun 9, 2026private clients per advisor of 450.2 against a peer median of 64.5 (1151 comparable advisers, 98.0th percentile, 9.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 98% percentile
- control person changedChange between filings · filing Jun 9, 2026ABNER, HOWARD JEROME (TRUSTEE, ABNER TRUST) left Schedule A between the filings of 2018-03-13 and 2026-06-09peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,177 to 2,403Mar 7, 2025 to Mar 6, 2026
- Charity clients · 52 to 54Mar 7, 2025 to Mar 6, 2026
- Corporate clients · 70 to 82Mar 7, 2025 to Mar 6, 2026
- HNW clients · 2,034 to 2,246Mar 7, 2025 to Mar 6, 2026
- Individual clients · 4 to 5Mar 7, 2025 to Mar 6, 2026
- Pension plan clients · 17 to 16Mar 7, 2025 to Mar 6, 2026
- Commission compensation · true to falseMar 7, 2025 to Mar 6, 2026
- Discretionary RAUM · $2.4B to $2.7BMar 7, 2025 to Mar 6, 2026
- HNW RAUM · $2.1B to $2.3BMar 7, 2025 to Mar 6, 2026
- Individual RAUM · $758,507 to $950,762Mar 7, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $53.4M to $61.7MMar 7, 2025 to Mar 6, 2026
- Pension RAUM · $25.7M to $28.2MMar 7, 2025 to Mar 6, 2026
- RAUM · $2.4B to $2.7BMar 7, 2025 to Mar 6, 2026
- Wrap assets (manager) · $2.0B to $2.2BMar 7, 2025 to Mar 6, 2026
- Accounts · 1,859 to 2,177Mar 21, 2024 to Mar 7, 2025
- BD registered reps · 8 to 0Mar 21, 2024 to Mar 7, 2025
- Charity clients · 41 to 52Mar 21, 2024 to Mar 7, 2025
- Corporate clients · 67 to 70Mar 21, 2024 to Mar 7, 2025
- HNW clients · 1,729 to 2,034Mar 21, 2024 to Mar 7, 2025
- Individual clients · 5 to 4Mar 21, 2024 to Mar 7, 2025
- Employees · 11 to 13Mar 21, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 7, 2025
- State-registered IARs · 5 to 6Mar 21, 2024 to Mar 7, 2025
- Discretionary RAUM · $1.9B to $2.4BMar 21, 2024 to Mar 7, 2025
- HNW RAUM · $1.7B to $2.1BMar 21, 2024 to Mar 7, 2025
- Individual RAUM · $593,347 to $758,507Mar 21, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $46.9M to $53.4MMar 21, 2024 to Mar 7, 2025
- Pension RAUM · $21.9M to $25.7MMar 21, 2024 to Mar 7, 2025
- RAUM · $2.0B to $2.4BMar 21, 2024 to Mar 7, 2025
- Wrap assets (manager) · $1.6B to $2.0BMar 21, 2024 to Mar 7, 2025
- Accounts · 1,641 to 1,859Mar 21, 2023 to Mar 21, 2024
- BD registered reps · 9 to 8Mar 21, 2023 to Mar 21, 2024
- Charity clients · 42 to 41Mar 21, 2023 to Mar 21, 2024
- Corporate clients · 53 to 67Mar 21, 2023 to Mar 21, 2024
- HNW clients · 1,522 to 1,729Mar 21, 2023 to Mar 21, 2024
- Pension plan clients · 19 to 17Mar 21, 2023 to Mar 21, 2024
- State-registered IARs · 4 to 5Mar 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.6B to $1.9BMar 21, 2023 to Mar 21, 2024
- HNW RAUM · $1.5B to $1.7BMar 21, 2023 to Mar 21, 2024
- Individual RAUM · $419,029 to $593,347Mar 21, 2023 to Mar 21, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 201-484-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 201-435-4603reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/ABNER-HERRMAN-&-BROCK-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- AHBI.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-484-2000reportedpublic record, Form ADV, Jun 9, 2026
- Contact form
- ahbi.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ahbi.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $547Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026