Hedge Fund Database

RICHARD BERNSTEIN ADVISORS LLC

Adviser information for RICHARD BERNSTEIN ADVISORS LLC last updated from Form ADV on February 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 35
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 14
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 14,709 $5.2B
Non-Discretionary 0 $0
Total 14,709 $5.2B

Clients

Type Number RAUM
Individuals 14,686 $3.5B
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 5 $1.2B
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $109.6M
State or municipal gov entities <5 $479.6M
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 <5 $1.0M
Type Number
No. of Non-RAUM Clients 13
No. of Non-U.S. Clients 6
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPublication of periodicals or newslettersASSET ALLOCATION TO BROKER-DEALERS
Compensation % of AUMFixed feesPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 3.2B
Both for Same 0
Portfolio Manager to Program Sponsor
MANAGER-DIRECTED ADVISORY PROGRAMS STIFEL, NICOLAUS & COMPANY, INCORPORATED
MERRILL LYNCH UNIFIED MANAGED ACCOUNT PROGRAM MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MORGAN STANLEY SELECT UMA PROGRAM MORGAN STANLEY INVESTMENT MANAGEMENT INC.
UBS ACCESS AND STRATEGIC WEALTH PORTFOLIO PROGRAMS UBS ASSET MANAGEMENT (AMERICAS) INC.
AMERIPRISE ACTIVE PORTFOLIOS INVESTMENTS PROGRAM AMERIPRISE FINANCIAL SERVICES, LLC
ENVESTNET PMC ENVESTNET PMC
UNIFIED OVERLAY MANAGEMENT PROGRAM FDX ADVISORS, INC.
ADHESION RIA VESTMARK ADVISORY SOLUTIONS, INC.
LOCKWOOD PROGRAM PERSHING LLC
JANNEY MONTGOMERY SCOTT LLC JANNEY MONTGOMERY SCOTT LLC
CAMBRIDGE WEALTHPORT WRAP PROGRAM CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AMW SLEEVE STRATEGY PROGRAM AXXCESS WEALTH MANAGEMENT, LLC
MANAGER SELECT ACCESS LPL FINANCIAL LLC

Identifiers

SEC RIA File Number 801-71501
SEC ERA File Number 801-71501
SEC CIK Numbers 1528214
SEC CRD Numbers 153577
Legal Entity Identifier 2549008WHQ69DTACQ493

Principal Office

1251 AVENUE OF THE AMERICAS
SUITE 4102
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-692-4000, Fax: 212-692-4001

Websites

www.linkedin.com/company/1376322/ www.rbadvisors.com twitter.com/rbadvisors

Chief Compliance Officer

MICHAEL H. MEYER
CHIEF COMPLIANCE OFFICER
1251 AVENUE OF THE AMERICAS
SUITE 4102
NEW YORK
NY
United States
Tel: 212-692-4030
Fax: 212-692-4031
(Full email address available in API data)

Industry Affiliates

None

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
BERNSTEIN, RICHARD, NMN Individual – CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER 05/2009 50-75%
MEYER, MICHAEL, HARRIS Individual – CHIEF COMPLIANCE OFFICER 02/2010 < 5%
REAGAN, JOHN, RAYMOND Individual – CHIEF TECHNOLOGY OFFICER 02/2010 < 5%
MCCOMBE, JOHN, JOSEPH Individual – PRESIDENT, DIRECTOR OF DISTRIBUTION AND BOARD MEMBER 09/2010 < 5%
TARBEL, BARBARA Individual – CHIEF FINANCIAL OFFICER AND BOARD MEMBER 12/2013 < 5%
GOLDFARB, PHILIP, STEPHEN Individual – DIRECTOR OF TRADING 01/2016 < 5%
SUZUKI, DAN, JAMES Individual – DEPUTY CHIEF INVESTMENT OFFICER & CHAIRMAN OF THE INVESTMENT COMMITTEE 01/2020 < 5%
KIRSCHNER, LISA Individual – DIRECTOR OF RESEARCH 12/2016 < 5%
GRISWOLD, FRANK, MATTHEW Individual – DIRECTOR OF INVESTMENTS AND RISK MANAGEMENT 12/2016 < 5%
IM SQUARE HOLDING 8 LLC Foreign Entity – MEMBER 07/2021 25-50%
IM SQUARE PARTNERS HOLDING Foreign Entity IM SQUARE HOLDING 8 LLC HOLDING COMPANY 07/2021 > 75%
IM SQUARE SAS Foreign Entity IM SQUARE PARTNERS HOLDING PARENT 12/2020 > 75%
LEGENDRE HOLDING 36 Foreign Entity IM SQUARE SAS HOLDING COMPANY 06/2015 50-75%
EURAZEO SE Foreign Entity LEGENDRE HOLDING 36 HOLDING COMPANY 06/2014 > 75%
JC DECAUX HOLDING SAS Foreign Entity EURAZEO SE SHAREHOLDER 01/2022 25-50%

No. Employees, Historic

40200201920202021202220232024202523 on 5/14/201927 on 2/28/202027 on 6/10/202032 on 3/1/202132 on 5/11/202132 on 5/12/202132 on 5/12/202132 on 5/13/202132 on 5/14/202132 on 8/4/202133 on 2/28/202233 on 3/9/202236 on 2/28/202336 on 4/30/202335 on 2/28/2024

RAUM, Historic

7B4B020192020202120222023202420253535468605 on 5/14/20193717874740 on 2/28/20203717874740 on 6/10/20204713504023 on 3/1/20214713504023 on 5/11/20214713504023 on 5/12/20214713504023 on 5/12/20214713504023 on 5/13/20214713504023 on 5/14/20214713504023 on 8/4/20216065656710 on 2/28/20226065656710 on 3/9/20225238538747 on 2/28/20235238538747 on 4/30/20235235676824 on 2/28/2024

No. Clients, Historic

20,00010,000020192020202120222023202420258262 on 5/14/20198254 on 2/28/20208254 on 6/10/202010713 on 3/1/202110713 on 5/11/202110713 on 5/12/202110713 on 5/12/202110713 on 5/13/202110713 on 5/14/202110713 on 8/4/202114181 on 2/28/202214181 on 3/9/202215328 on 2/28/202315328 on 4/30/202314693 on 2/28/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 4M 34K –
ABBVIE INC COM 6M 37K –
ADVANSIX INC COM 2M 76K –
AIRBNB INC COM CL A 3M 20K –
ALARM COM HLDGS INC COM 5M 79K –
ALPHABET INC CAP STK CL C 19M 103K –
ALPHABET INC CAP STK CL A 22M 123K –
AMAZON COM INC COM 38M 198K –
AMERICAN EXPRESS CO COM 4M 18K –
AMERICAN INTL GROUP INC COM NEW 6M 83K –
AMGEN INC COM 4M 14K –
ANTERO MIDSTREAM CORP COM 3M 237K –
API GROUP CORP COM STK 4M 108K –
APOLLO GLOBAL MGMT INC COM 3M 28K –
APPLE INC COM 65M 309K –
ARES MANAGEMENT CORPORATION CL A COM STK 4M 27K –
AT&T INC COM 3M 161K –
ATLASSIAN CORPORATION CL A 3M 15K –
AUTOMATIC DATA PROCESSING IN COM 3M 14K –
BAKER HUGHES COMPANY CL A 3M 77K –
BANK AMERICA CORP COM 7M 169K –
BECTON DICKINSON & CO COM 3M 14K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 12M 30K –
BOEING CO COM 2M 10K –
BOOKING HOLDINGS INC COM 4M 1K –
BOSTON SCIENTIFIC CORP COM 5M 64K –
BRIGHTHOUSE FINL INC COM 2M 58K –
BRIGHTSPHERE INVT GROUP INC COM 3M 138K –
BRISTOL-MYERS SQUIBB CO COM 3M 79K –
BROADCOM INC COM 15M 9K –
CALIFORNIA RES CORP COM STOCK 3M 59K –
CARDINAL HEALTH INC COM 3M 26K –
CARRIER GLOBAL CORPORATION COM 4M 66K –
CATERPILLAR INC COM 5M 15K –
CENCORA INC COM 6M 26K –
CENTENE CORP DEL COM 2M 34K –
CENTERPOINT ENERGY INC COM 3M 89K –
CHENIERE ENERGY INC COM NEW 3M 19K –
CHEVRON CORP NEW COM 8M 53K –
CITIGROUP INC COM NEW 3M 50K –
CITIZENS FINL GROUP INC COM 4M 106K –
CME GROUP INC COM 3M 15K –
COCA COLA CO COM 8M 125K –
CONOCOPHILLIPS COM 4M 31K –
CONSTELLATION ENERGY CORP COM 5M 23K –
COREBRIDGE FINL INC COM 4M 140K –
CORTEVA INC COM 3M 54K –
CSW INDUSTRIALS INC COM 4M 16K –
CSX CORP COM 3M 89K –
DEERE & CO COM 3M 9K –
DELTA AIR LINES INC DEL COM NEW 3M 72K –
DEVON ENERGY CORP NEW COM 3M 61K –
DIAMONDBACK ENERGY INC COM 4M 18K –
DOMINION ENERGY INC COM 3M 53K –
DOW INC COM 5M 100K –
DT MIDSTREAM INC COMMON STOCK 4M 58K –
DUKE ENERGY CORP NEW COM NEW 3M 26K –
EASTERN BANKSHARES INC COM 3M 222K –
EATON CORP PLC SHS 8M 24K –
ELI LILLY & CO COM 15M 16K –
ENACT HLDGS INC COM 3M 101K –
EQUINIX INC COM 3M 4K –
EQUITABLE HLDGS INC COM 4M 100K –
EXELON CORP COM 2M 71K –
EXXON MOBIL CORP COM 11M 94K –
FB FINL CORP COM 4M 98K –
FEDEX CORP COM 2M 8K –
FIRST HAWAIIAN INC COM 4M 191K –
FORD MTR CO DEL COM 3M 243K –
FORTIVE CORP COM 4M 60K –
FOUR CORNERS PPTY TR INC COM 5M 220K –
FOX CORP CL B COM 3M 89K –
FREEPORT-MCMORAN INC CL B 4M 76K –
GE AEROSPACE COM NEW 6M 38K –
GE VERNOVA INC COM 2M 10K –
GENERAL DYNAMICS CORP COM 6M 21K –
GILEAD SCIENCES INC COM 2M 34K –
GLOBALFOUNDRIES INC ORDINARY SHARES 3M 50K –
GMS INC COM 4M 46K –
GRANITESHARES GOLD TR SHS BEN INT 75M 3M –
HALLIBURTON CO COM 2M 68K –
HAMILTON LANE INC CL A 4M 31K –
HARTFORD FINL SVCS GROUP INC COM 3M 34K –
HCA HEALTHCARE INC COM 4M 12K –
HESS CORP COM 3M 18K –
HEWLETT PACKARD ENTERPRISE C COM 4M 182K –
HOME DEPOT INC COM 5M 14K –
HONEYWELL INTL INC COM 3M 15K –
HOULIHAN LOKEY INC CL A 4M 26K –
HOWMET AEROSPACE INC COM 4M 46K –
ILLINOIS TOOL WKS INC COM 3M 14K –
INGERSOLL RAND INC COM 3M 34K –
INSTALLED BLDG PRODS INC COM 5M 24K –
INTEL CORP COM 2M 58K –
INTUITIVE SURGICAL INC COM NEW 6M 13K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 190M 5M –
INVESCO EXCHANGE TRADED FD T S&P500 EQL DIS 37M 762K –
IQVIA HLDGS INC COM 3M 13K –
ISHARES INC MSCI GBL MIN VOL 16K 155 –
ISHARES INC MSCI EURZONE ETF 46M 952K –
ISHARES INC MSCI STH KOR ETF 27M 408K –
ISHARES INC MSCI EMRG CHN 289M 5M –
ISHARES INC MSCI TAIWAN ETF 38M 695K –
ISHARES TR GLOB HLTHCRE ETF 140M 2M –
ISHARES TR GLOBAL FINLS ETF 5M 58K –
ISHARES TR 20 YR TR BD ETF 559K 6K –
ISHARES TR MSCI ACWI ETF 3K 27 –
ISHARES TR MBS ETF 3K 36 –
ISHARES TR 10-20 YR TRS ETF 321M 3M –
ISHARES TR GLOB INDSTRL ETF 28M 206K –
ISHARES TR GLB CNSM STP ETF 50M 835K –
ISHARES TR US AER DEF ETF 67M 506K –
ISHARES TR GRWT ALLOCAT ETF 3M 58K –
ISHARES TR MSCI INDIA ETF 40M 712K –
ISHARES TR MSCI CHINA ETF 251M 6M –
ISHARES TR MSCI USA QLT FCT 18M 104K –
ISHARES TR MSCI INTL QUALTY 120M 3M –
ISHARES TR ESG AWARE GROWTH 63K 2K –
J P MORGAN EXCHANGE TRADED F BETABULDRS JAPAN 74M 1M –
J P MORGAN EXCHANGE TRADED F BETABUILDERS CDA 36M 556K –
JANUS DETROIT STR TR B-BBB CLO ETF 71M 1M –
JANUS DETROIT STR TR HENDRSON AAA CL 482K 9K –
JANUS DETROIT STR TR HENDERSON MTG 467M 10M –
JOHNSON & JOHNSON COM 4M 30K –
JPMORGAN CHASE & CO. COM 6M 29K –
KKR & CO INC COM 3M 32K –
KNOWLES CORP COM 3M 195K –
KRANESHARES TRUST QUADRTC INT RT 65M 4M –
L3HARRIS TECHNOLOGIES INC COM 3M 14K –
LABCORP HOLDINGS INC COM SHS 3M 14K –
LINDE PLC SHS 4M 10K –
LOCKHEED MARTIN CORP COM 4M 8K –
MAGNOLIA OIL & GAS CORP CL A 3M 122K –
MARATHON OIL CORP COM 3M 105K –
MARKEL GROUP INC COM 3M 2K –
MARVELL TECHNOLOGY INC COM 3M 44K –
MASTERCARD INCORPORATED CL A 2M 5K –
MCKESSON CORP COM 7M 13K –
MEDTRONIC PLC SHS 4M 55K –
MERCK & CO INC COM 5M 44K –
META PLATFORMS INC CL A 23M 46K –
MICROSOFT CORP COM 66M 148K –
MID-AMER APT CMNTYS INC COM 2M 17K –
MOELIS & CO CL A 3M 57K –
NEWS CORP NEW CL B 3M 114K –
NISOURCE INC COM 3M 100K –
NORTHROP GRUMMAN CORP COM 5M 11K –
NVENT ELECTRIC PLC SHS 4M 46K –
NVIDIA CORPORATION COM 63M 511K –
OCCIDENTAL PETE CORP COM 3M 44K –
OTIS WORLDWIDE CORP COM 4M 37K –
PACCAR INC COM 5M 50K –
PARSONS CORP DEL COM 4M 51K –
PAYCOM SOFTWARE INC COM 2M 11K –
PAYPAL HLDGS INC COM 3M 47K –
PEPSICO INC COM 3M 17K –
PFIZER INC COM 3M 123K –
PG&E CORP COM 3M 179K –
PHILIP MORRIS INTL INC COM 4M 37K –
PHILLIPS 66 COM 3M 23K –
PROCTER AND GAMBLE CO COM 3M 15K –
PROLOGIS INC. COM 3M 25K –
PRUDENTIAL FINL INC COM 3M 27K –
REALTY INCOME CORP COM 2M 40K –
REGENERON PHARMACEUTICALS COM 4M 4K –
RESIDEO TECHNOLOGIES INC COM 3M 159K –
RTX CORPORATION COM 4M 39K –
SCHLUMBERGER LTD COM STK 3M 54K –
SCHNEIDER NATIONAL INC CL B 2M 100K –
SCIENCE APPLICATIONS INTL CO COM 3M 27K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 804K 6K –
SELECT SECTOR SPDR TR ENERGY 61M 665K –
SELECT SECTOR SPDR TR FINANCIAL 55M 1M –
SELECT SECTOR SPDR TR TECHNOLOGY 39K 170 –
SILGAN HLDGS INC COM 3M 69K –
SLM CORP COM 4M 202K –
SONOCO PRODS CO COM 3M 55K –
SOUTHERN CO COM 3M 44K –
SPDR INDEX SHS FDS GLB NAT RESRCE 32M 566K –
SPDR SER TR S&P DIVID ETF 164M 1M –
SPDR SER TR PORTFOLIO SH TSR 80M 3M –
SPDR SER TR BLOOMBERG 1-3 MO 16M 177K –
SPDR SER TR PORTFOLIO S&P600 140M 3M –
STELLAR BANCORP INC COM 3M 119K –
STRYKER CORPORATION COM 4M 11K –
SYNCHRONY FINANCIAL COM 4M 89K –
TARGA RES CORP COM 5M 39K –
TESLA INC COM 11M 56K –
TRADEWEB MKTS INC CL A 4M 35K –
TRI POINTE HOMES INC COM 6M 153K –
U HAUL HOLDING COMPANY COM SER N 3M 52K –
UBER TECHNOLOGIES INC COM 5M 66K –
UNION PAC CORP COM 3M 12K –
UNITED PARCEL SERVICE INC CL B 2M 15K –
UNITEDHEALTH GROUP INC COM 11M 22K –
VANGUARD INDEX FDS VALUE ETF 267M 2M –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 447K 4K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 67M 1M –
VERITEX HLDGS INC COM 3M 147K –
VERRA MOBILITY CORP CL A COM STK 4M 153K –
VERTEX PHARMACEUTICALS INC COM 4M 9K –
VICI PPTYS INC COM 2M 84K –
VICTORY CAP HLDGS INC COM CL A 4M 83K –
VISA INC COM CL A 4M 14K –
WALMART INC COM 6M 90K –
WASTE MGMT INC DEL COM 4M 19K –
WELLS FARGO CO NEW COM 5M 87K –
WISDOMTREE TR FLOATNG RAT TREA 235M 5M –
WORLD GOLD TR SPDR GLD MINIS 1M 29K –