{
  "crd_number": 8517,
  "slug": "abner-herrman-and-brock-llc-jersey-city-nj-8517",
  "primary_business_name": "ABNER HERRMAN & BROCK, LLC",
  "legal_name": "ABNER HERRMAN & BROCK, LLC",
  "dbas": [],
  "city": "Jersey City",
  "state": "NJ",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1982-07-09",
  "years_registered": 44,
  "period": "2026-10-01",
  "filing_date": "2026-06-09",
  "carried_forward": false,
  "raum_total": 2736053212.0,
  "raum_discretionary": 2674386214.0,
  "raum_non_discretionary": 61666998.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 13,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 119719604.0,
      "count": 54
    },
    "individuals": {
      "raum": 950762.0,
      "count": 5
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 28248409.0,
      "count": 16
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 2343428117.0,
      "count": 2246
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 243706320.0,
      "count": 82
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AL",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IL",
    "IN",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MT",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NV",
    "NY",
    "OH",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA",
    "WA",
    "WI",
    "WV"
  ],
  "websites": [
    "https://ahbi.com",
    "https://linkedin.com/COMPANY/ABNER-HERRMAN-&-BROCK-LLC",
    "https://twitter.com/AHB_AM"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8517",
  "city_as_filed": "JERSEY CITY",
  "url": "https://advisorcensus.com/firm/abner-herrman-and-brock-llc-jersey-city-nj-8517",
  "display_name": "Abner Herrman & Brock, LLC",
  "summary": "Abner Herrman & Brock, LLC is an SEC-registered investment advisory firm in Jersey City, NJ, registered since 1982, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated June 9, 2026.",
  "citation": "AdvisorCensus. Abner Herrman & Brock, LLC (CRD 8517): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Abner Herrman & Brock, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Abner Herrman & Brock, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Abner Herrman & Brock, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 6, 2026 states: Asset-based fee: 0.25% to 1.4% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Abner Herrman & Brock, LLC located?",
      "a": "Abner Herrman & Brock, LLC's principal office is in Jersey City, NJ, according to its Form ADV."
    },
    {
      "q": "Is Abner Herrman & Brock, LLC registered with the SEC or a state?",
      "a": "Abner Herrman & Brock, LLC is an SEC-registered investment advisory firm, registered since 1982. Status as filed: Approved. CRD 8517."
    },
    {
      "q": "How much does Abner Herrman & Brock, LLC manage?",
      "a": "Abner Herrman & Brock, LLC reports $2,736,053,212 in regulatory assets under management in its Form ADV filing dated June 9, 2026 (98% discretionary)."
    },
    {
      "q": "How have Abner Herrman & Brock, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Abner Herrman & Brock, LLC: Regulatory assets under management: $1,664,555,722 in the October 2021 data and $2,736,053,212 in the October 2026 data, up 64%. Total employees: 12 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Abner Herrman & Brock, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (2,246); corporations or other businesses not listed above (82); charitable organizations (54)."
    },
    {
      "q": "Which custodians does Abner Herrman & Brock, LLC use?",
      "a": "Abner Herrman & Brock, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Distributors Company LLC, LPL Financial LLC, UBS Financial Services Inc. and Wells Fargo Advisors Financial Network, LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Abner Herrman & Brock, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/8517"
    },
    {
      "q": "What changed in Abner Herrman & Brock, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Item 11 disclosure answers changed: 0 yes answers, previously 1 (now no: 11.E(2)). Regulatory assets under management went from $2,430,649,447 to $2,736,053,212 (+13%). Registered or notice-filed in MN, MT, NE."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1664555722.0,
      "total_employees": 12,
      "filing_date": "2021-05-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1732567039.0,
      "total_employees": 12,
      "filing_date": "2022-03-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1653326087.0,
      "total_employees": 11,
      "filing_date": "2023-03-21"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1952266950.0,
      "total_employees": 11,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2430649447.0,
      "total_employees": 13,
      "filing_date": "2025-03-07"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2736053212.0,
      "total_employees": 13,
      "filing_date": "2026-06-09"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Item 11 disclosure answers changed: 0 yes answers, previously 1 (now no: 11.E(2)).",
        "Regulatory assets under management went from $2,430,649,447 to $2,736,053,212 (+13%).",
        "Registered or notice-filed in MN, MT, NE."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 6, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.25% to 1.4% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.25% to 1.4% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "The annual fee rate ranges from .25% to 1.40% and is negotiable at AHB’s discretion."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.25,
        1.4
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "The annual fee rate ranges from .25% to 1.40% and is negotiable at AHB’s discretion."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fidelity Distributors Company LLC",
      "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC",
      "affiliated": false
    },
    {
      "name": "LPL Financial LLC",
      "name_as_filed": "LPL FINANCIAL LLC",
      "affiliated": false
    },
    {
      "name": "UBS Financial Services Inc.",
      "name_as_filed": "UBS FINANCIAL SERVICES INC.",
      "affiliated": false
    },
    {
      "name": "Wells Fargo Advisors Financial Network, LLC",
      "name_as_filed": "WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/abner-herrman-and-brock-llc-jersey-city-nj-8517.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 950762.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 2246,
      "fewer_than_5": false,
      "raum": 2343428117.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 16,
      "fewer_than_5": false,
      "raum": 28248409.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 54,
      "fewer_than_5": false,
      "raum": 119719604.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 82,
      "fewer_than_5": false,
      "raum": 243706320.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8517",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}