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.
Advisor moves
Departures from Abner Herrman & Brock, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Kevin Eric Strauss | Abner Herrman & Brock, LLC independent RIA | Advisors Capital Management, LLC independent RIA | RIA to RIA | Oct 1, 2019 | Nov 18, 2019 (48 d) |
| Neil Douglas Klein | Abner Herrman & Brock, LLC other | Carret Asset Management, LLC independent RIA | Other | Jun 16, 2008 | Jun 12, 2021 (4744 d) |
| Jason Richard Graybill | Abner Herrman & Brock, LLC other | Carret Asset Management, LLC independent RIA | Other | Jun 16, 2008 | Mar 28, 2018 (3572 d) |
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3 moves match.