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
Arrivals at 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 |
|---|---|---|---|---|---|
| David Jonathan Linsen | Summit Financial, LLC BD affiliated | Abner Herrman & Brock, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Oct 13, 2021 (89 d) |
| Matthew James Flood | Morgan Stanley wirehouse | Abner Herrman & Brock, LLC other | Other | Sep 23, 2011 | Oct 25, 2011 (32 d) |
| Neil Douglas Klein | Cibc World Markets Corp. unclassified | Abner Herrman & Brock, LLC other | Other | Apr 8, 2003 | Aug 4, 2005 (849 d) |
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3 moves match.