ABNER HERRMAN & BROCK, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	11
Investment Advisory/Research	5
Registered Broker-Dealer Representatives	8
Registered State Investment Advisers	5
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,814	$1.9B
Non-Discretionary	45	$46.9M
Total	1,859	$2.0B

Clients

Type	Number	RAUM
Individuals	5	$593,347
HNW Individuals	1,729	$1.7B
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	17	$21.9M
Charitable organizations	41	$59.1M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	67	$158.9M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMCommissions
Other Business Activities	Broker-dealer

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	1.6B
Both for Same	0

Portfolio Manager to Program	Sponsor
PRIVATE ADVISOR NETWORK	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
DMA	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
INVESTMENT MANAGEMENT SERVICES	MORGAN STANLEY
S-MAP ADVISORY WRAP PROGRAM	CETERA ADVISOR NETWORKS LLC
MANAGER SELECT	LPL FINANCIAL LLC
ACCESS	UBS FINANCIAL SERVICES INC.
STRATEGIC WEALTH PORTFOLIO	UBS FINANCIAL SERVICES INC.
MANAGER ACCESS NETWORK	LPL FINANCIAL LLC
STRATEGIC PORTFOLIO ADVISOR SERVICE	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OUTSIDE MANAGER PROGRAM	RAYMOND JAMES & ASSOCIATES, INC.
SEPARATE ACCOUNT EXCHANGE	TD AMERITRADE, INC.
ENVESTNET PORTFOLIO SOLUTIONS	ENVESTNET PMC
MANAGED ACCOUNT MARKETPLACE	CHARLES SCHWAB & CO., INC.
STIFEL OPPORTUNITY PROGRAM	STIFEL, NICOLAUS & COMPANY, INCORPORATED
LOCKWOOD - PERSHING ADVISOR SOLUTIONS	PERSHING LLC
MASTERS	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SEASIDE WEALTH MANAGEMENT	SEASIDE WEALTH MANAGEMENT, INC.
MANAGER ACCESS SELECT	LPL FINANCIAL LLC
SEPARATE ACCOUNT NETWORK	FIDELITY DISTRIBUTORS COMPANY LLC

Identifiers

SEC RIA File Number	801-17402
SEC ERA File Number	801-17402
SEC CIK Numbers	1038661
SEC CRD Numbers	8517
Legal Entity Identifier	None

Principal Office

HARBORSIDE 5 185 HUDSON STREET
SUITE 1640
JERSEY CITY
NJ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic