Hedge Fund Database

EQUITABLE ADVISORS, LLC

Adviser information for EQUITABLE ADVISORS, 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
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 5565
Investment Advisory/Research 3955
Registered Broker-Dealer Representatives 5461
Registered State Investment Advisers 3947
Licensed Agents of an Insurance Company 4230
No. of Firms/People that Solicit Clients 3

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 27,577 $12.2B
Non-Discretionary 52,109 $17.6B
Total 79,686 $29.8B

Clients

Type Number RAUM
Individuals 34,375 $7.4B
HNW Individuals 27,673 $21.2B
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 558 $490.8M
Charitable organizations 185 $188.8M
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 339 $467.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 141324
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealer

Identifiers

SEC RIA File Number 801-14065
SEC ERA File Number 801-14065
SEC CIK Numbers None
SEC CRD Numbers 6627
Legal Entity Identifier None

Principal Office

1345 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 212-314-4600, Fax: None

Websites

equitable.com

Chief Compliance Officer

CHRISTOPHER LARUSSA
INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER
1345 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel: 212-314-2169
(Full email address available in API data)

Regulatory Contact

CHRISTIAN CANNON
VICE PRESIDENT AND GENERAL COUNSEL
8501 IBM DRIVE
CHARLOTTE
NC
United States
Tel: 704-341-6678
(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, GP, manager of pooled investment vehicles
BERNSTEIN INSTITUTIONAL SERVICES 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 LIFE INSURANCE COMPANY 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

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
EQUITABLE DISTRIBUTION HOLDING CORPORATION Domestic Entity – MEMBER 09/1999 > 75%
EQUITABLE FINANCIAL SERVICES, LLC Domestic Entity EQUITABLE DISTRIBUTION HOLDING CORPORATION SHAREHOLDER 06/2002 > 75%
EQUITABLE HOLDINGS, INC. Domestic Entity EQUITABLE FINANCIAL SERVICES, LLC MEMBER 10/2018 > 75%
MASSA, FRANK ANGELO JR Individual – PRESIDENT/DIRECTOR 10/2018 < 5%
PENNELL, PAGE HOWARD Individual – VICE PRESIDENT 05/2012 < 5%
BONADONNA, MARYJEAN ELIZABETH Individual – CHIEF RISK OFFICER 11/2018 < 5%
JONES, GINA MARIE Individual – VICE PRESIDENT AND FINANCIAL CRIME OFFICER 02/2014 < 5%
KARR, DAVID WHITCOMB Individual – CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER 09/2014 < 5%
MELLIN, JAMES PATRICK Individual – CHIEF SALES OFFICER 09/2014 < 5%
SMITH, JANE LYNN Individual – ASSISTANT VICE PRESIDENT 07/1999 < 5%
CANNON, CHRISTIAN JAMES Individual – VICE PRESIDENT AND GENERAL COUNSEL 02/2019 < 5%
BROWNING, RALPH EDWARD II Individual – CHIEF PRIVACY OFFICER 05/2018 < 5%
SARFATTI, AARON JOSEPH Individual – DIRECTOR 07/2018 < 5%
LARUSSA, CHRISTOPHER JOHN Individual – INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER 02/2019 < 5%
BOYLAN, PATRICIA AGNES Individual – BROKER DEALER CHIEF COMPLIANCE OFFICER 02/2019 < 5%
LANE, NICHOLAS BURRITT Individual – DIRECTOR 05/2019 < 5%
SCAPPATOR, CANDACE LYNN Individual – CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER 05/2020 < 5%
ZHANG, YUN Individual – DIRECTOR 07/2022 < 5%
ZIMMERER, TRACY Individual – VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER 01/2024 < 5%

No. Employees, Historic

7,0003,500020192020202120222023202420255930 on 5/1/20195930 on 5/13/20195930 on 5/14/20195930 on 5/31/20195930 on 6/21/20195930 on 8/19/20195930 on 10/14/20195930 on 12/3/20195930 on 1/13/20205930 on 1/17/20205930 on 2/25/20205930 on 2/25/20205718 on 3/27/20205718 on 5/13/20205718 on 6/15/20205718 on 6/29/20205718 on 7/8/20205718 on 8/11/20205718 on 10/2/20205718 on 10/2/20205718 on 11/18/20205718 on 12/4/20205718 on 12/4/20205718 on 12/11/20206057 on 3/30/20216057 on 5/5/20216057 on 6/18/20216057 on 10/1/20216057 on 10/26/20216057 on 12/7/20215450 on 3/31/20225450 on 7/1/20225450 on 8/1/20225450 on 9/30/20225450 on 10/5/20225450 on 10/21/20225251 on 3/31/20235251 on 8/10/20235251 on 10/5/20235251 on 11/27/20235251 on 1/3/20245251 on 1/19/20245565 on 3/28/2024

RAUM, Historic

30B15B0201920202021202220232024202514671064923 on 5/1/201914671064923 on 5/13/201914671064923 on 5/14/201914671064923 on 5/31/201914671064923 on 6/21/201914671064923 on 8/19/201917011439927 on 10/14/201917011439927 on 12/3/201917011439927 on 1/13/202017011439927 on 1/17/202017011439927 on 2/25/202017011439927 on 2/25/202018711893417 on 3/27/202018711893417 on 5/13/202018711893417 on 6/15/202018711893417 on 6/29/202018711893417 on 7/8/202018711893417 on 8/11/202017885170894 on 10/2/202017885170894 on 10/2/202017885170894 on 11/18/202017885170894 on 12/4/202017885170894 on 12/4/202017885170894 on 12/11/202022419651004 on 3/30/202122419651004 on 5/5/202122419651004 on 6/18/202126007934159 on 10/1/202126007934159 on 10/26/202126007934159 on 12/7/202127972405590 on 3/31/202227972405590 on 7/1/202227972405590 on 8/1/202224116667405 on 9/30/202224116667405 on 10/5/202224116667405 on 10/21/202224555313983 on 3/31/202324555313983 on 8/10/202327250764055 on 10/5/202327250764055 on 11/27/202327250764055 on 1/3/202427250764055 on 1/19/202429776092676 on 3/28/2024

No. Clients, Historic

70,00035,0000201920202021202220232024202542857 on 5/1/201942857 on 5/13/201942857 on 5/14/201942857 on 5/31/201942857 on 6/21/201942857 on 8/19/201955104 on 10/14/201955104 on 12/3/201955104 on 1/13/202055104 on 1/17/202055104 on 2/25/202055104 on 2/25/202046824 on 3/27/202046824 on 5/13/202046824 on 6/15/202046824 on 6/29/202046824 on 7/8/202046824 on 8/11/202045078 on 10/2/202045078 on 10/2/202045078 on 11/18/202045078 on 12/4/202045078 on 12/4/202045078 on 12/11/202049857 on 3/30/202149857 on 5/5/202149857 on 6/18/202153729 on 10/1/202153729 on 10/26/202153729 on 12/7/202155954 on 3/31/202255954 on 7/1/202255954 on 8/1/202259548 on 9/30/202259548 on 10/5/202259548 on 10/21/202260038 on 3/31/202360038 on 8/10/202361332 on 10/5/202361332 on 11/27/202361332 on 1/3/202461332 on 1/19/202463130 on 3/28/2024