Abner Herrman & Brock, Llc
- Regulatory AUM
- $2.7B
- Discretionary
- $2.7B
- Clients
- 2,403
- Avg AUM / client
- $1.1M
- Accounts
- 2,403
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Jun 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $951K | 0.03% |
| High net worth individuals | 2,246 | $2.3B | 85.6% |
| Pension and profit sharing plans | 16 | $28.2M | 1.03% |
| Charitable organizations | 54 | $120M | 4.38% |
| Corporations and other businesses | 82 | $244M | 8.91% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Caryn Jill Zweig | Chief Executive Officer | Sep 2004 (22y) | Less than 5% | |
| Abner, Howard Jerome | Chief Compliance Officer | Jan 2007 (20y) | ≈ 0% – 5% via Abner, Herrman & Brock, Inc. | |
| Bryan L Didonato | Registered representative | CFA | Jan 2024 (3y) | |
| Bindia Rakesh Rosas | Registered representative | Jan 2024 (3y) | ||
| Matthew James Flood | Registered representative | Jan 2024 (3y) | ||
| David Jonathan Linsen | Registered representative | Jan 2024 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Abner Trust | Member | Jan 2011 | A | 50% – 75% |
| Abner, Herrman & Brock, Inc. | Member | Jan 2011 | A | Less than 5% |
Undisclosed: 10% – 50% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Abner, Howard Jerome: 75% – 100% of Abner, Herrman & Brock, Inc. × 0% – 5% direct ≈ 0% – 5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/09/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: RULES 6220 AND 6230 AND NASD CONDUCT RULE 2110. FROM JANUARY 1, 2006 THROUGH NOVEMBER 6, 2006, AHB EFFECTED 560 TRACE-ELIGIBLE SECURITIES TRANSACTIONS. AHB, HOWEVER, DID NOT HAVE A TRACE PARTICIPANT APPLICATION IN PLACE, NOR DID IT REPORT ANY OF THE TRACE-ELIGIBLE SECURITIES TRANSACTIONS REFERENCED ABOVE. Status: Final Sanction Detail: FINED $10,000. Summary: RESOLVED 06/19/2007, AWC.
Allegations: 12/5/1985;MARKET SURVEILLANCE COMMITTEE COMPLAINT#MS-178 SC-SUMMARY COMPLAINT FILED ON 9/20/1985.ALLEGING VIOLATIONS OF PART I,SECTIONC.3.(A) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM ON 6/7,10 AND 11/1985,THAT WERE NOT REASONABLY RELATED TO THE PREVAILING MARKET. SUMMARY COMPLAINT Status: Final Sanction Detail: $500,00 PAID IN FULL Summary: 12/5/1985;MARKET SURVEILLANCE COMMITTEE COMPLAINT#MS-178 SC-SUMMARY COMPLAINT FILED ON 9/20/1985.ALLEGING VIOLATIONS OF PART I,SECTIONC.3.(A) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM ON 6/7,10 AND 11/1985,THAT WERE NOT REASONABLY RELATED TO THE PREVAILING MARKET. SUMMARY COMPLAINT ACCEPTED 9/25/85.$500 FINE PAID 9/25/85***10/7/85,NFC#20 PAID IN FULL.
Allegations: ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER, ACTING THROUGH RESPONDENT HERRMAN, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A PUBLIC OFFERING WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS.) $5,000 PAID IN FULL J& S 2/24/88 Status: Final Sanction Detail: ON 12/23/1987, THE LETTER OF ACCEPTANCE, WAIVER & CONSENT NO.NY-5047-AWC(DISTRICT 12) SUBMITTED BY RESPONDENTS ABNER, HERRMAN & BROCK, INC. AND FRANKLIN S. HERRMAN WAS ACCEPTED; THEREFORE, THEY ARE CENSURED AND FINED $5,000.00 JOINTLY AND SEVERALLY(ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER, ACTING THROUGH RESPONDENT HERRMAN, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A PUBLIC OFFERING WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS.) $5,000 PAID IN FULL J& S 2/24/88 Summary: ON 12/23/1987, THE LETTER OF ACCEPTANCE, WAIVER & CONSENT NO.NY-5047-AWC(DISTRICT 12) SUBMITTED BY RESPONDENTS ABNER, HERRMAN & BROCK, INC. AND FRANKLIN S. HERRMAN WAS ACCEPTED; THEREFORE, THEY ARE CENSURED AND FINED $5,000.00 JOINTLY AND SEVERALLY(ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER, ACTING THROUGH RESPONDENT HERRMAN, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A PUBLIC OFFERING WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS.) $5,000 PAID IN FULL J& S 2/24/88
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- UBS $573M (21% of AUM) Jun 2026
- LPL Financial $557M (20% of AUM) Jun 2026
- Fidelity Distributors Company Llc $547M (20% of AUM) Jun 2026
- National Financial Services (Fidelity) $415M (25% of AUM) Mar 2023
- Wells Fargo $331M (12% of AUM) Jun 2026
- Morgan Stanley $206M (12% of AUM) Mar 2022
- Reliance Trust Company $168M (10% of AUM) May 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 09, 2026.
View current Form ADV (SEC/IAPD) ↗