EQUITABLE INVESTMENT MANAGEMENT, LLC
Adviser information for EQUITABLE INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 63 |
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Investment Advisory/Research | 11 |
Registered Broker-Dealer Representatives | 15 |
Registered State Investment Advisers | 1 |
Licensed Agents of an Insurance Company | 4 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 16 | $1.3B |
Non-Discretionary | 0 | $0 |
Total | 16 | $1.3B |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 1 | $1.3B |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
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 | 0 | $0 |
Other | 0 | $0 |
Type | Number |
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No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
Services
Advisory Services | Portfolio management for investment companiesFUND ADMINISTRATION |
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Compensation | % of AUM |
Identifiers
SEC RIA File Number | 801-126365 |
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SEC ERA File Number | 801-126365 |
SEC CIK Numbers | None |
SEC CRD Numbers | 322513 |
Legal Entity Identifier | None |
Principal Office
1345 AVENUE OF THE AMERICASNEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-314-5051, Fax: 212-314-1504
Websites
Chief Compliance Officer
JOSEPH PAOLO
1290 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
212-314-5759
J***********@************M
(Full email address available in API data)
Industry Affiliates
AB BROADLY SYNDICATED LOAN MANAGER LLC | Other investment adviser, including financial planners |
AB CARVAL INVESTORS, LP | Other investment adviser, including financial planners |
AB CUSTOM ALTERNATIVE SOLUTIONS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
AB PRIVATE CREDIT INVESTORS LLC | Other investment adviser, including financial planners |
ALLIANCEBERNSTEIN CORPORATION | Other investment adviser, including financial planners |
ALLIANCEBERNSTEIN HOLDING L.P. | Other investment adviser, including financial planners |
ALLIANCEBERNSTEIN INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
ALLIANCEBERNSTEIN L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
ALLIANCEBERNSTEIN TRUST COMPANY, LLC | Trust company |
BERNSTEIN INSTITUTIONAL SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
EQUITABLE ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
EQUITABLE DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
EQUITABLE FINANCIAL INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY | Insurance company or agency |
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY OF AMERICA | Insurance company or agency |
EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
PLANMEMBER ASSET MANAGEMENT CORPORATION | Other investment adviser, including financial planners |
PLANMEMBER SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
SANFORD C. BERNSTEIN & CO., LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorFutures commission merchantSponsor or syndicator of limited partnerships |
W.P. STEWART ASSET MANAGEMENT LTD. | Other investment adviser, including financial planners |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
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EQUITABLE FINANCIAL SERVICES, LLC | Domestic Entity | – | MEMBER | 06/2022 | > 75% |
JOENK, STEVEN, MICHAEL | Individual | – | DIRECTOR, CHAIRMAN OF THE BOARD, AND CHIEF EXECUTIVE OFFICER | 06/2022 | < 5% |
PAOLO, JOSEPH, JOHN | Individual | – | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |
WALSH, BRIAN, E (MI ONLY) | Individual | – | DIRECTOR AND SENIOR VICE PRESIDENT | 06/2022 | < 5% |
KOZLOWSKI, KENNETH, THOMAS | Individual | – | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 06/2022 | < 5% |
EQUITABLE HOLDINGS, INC. | Domestic Entity | EQUITABLE FINANCIAL SERVICES, LLC | SHAREHOLDER | 06/2022 | > 75% |
Daly, Shane | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | 03/2023 | < 5% |
Baehr, Jessica, Lynn | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER | 02/2024 | < 5% |