EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC
Adviser information for EQUITABLE INVESTMENT MANAGEMENT GROUP, 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 | 63 |
|---|---|
| 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 |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 113 | $156.5B |
| Non-Discretionary | 0 | $0 |
| Total | 113 | $156.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $156.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $230.5M |
| 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 |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)FUND ADMINISTRATION; ASSET ALLOCATION AND INVESTMENT ADVICE REGARDING MODEL PORTFOLIOS |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-72220 |
|---|---|
| SEC ERA File Number | 801-72220 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156933 |
| 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 J. PAOLO
SENIOR VICE PRESIDENT
1290 AVENUE OF THE AMERICAS
16TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 314-5051
Fax:
(212) 314-1504
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, LLC | Other investment adviser, including financial planners |
| 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EQUITABLE FINANCIAL LIFE INSURANCE COMPANY | Domestic Entity | – | MEMBER | 02/2011 | > 75% |
| EQUITABLE FINANCIAL SERVICES, LLC | Domestic Entity | EQUITABLE FINANCIAL LIFE INSURANCE COMPANY | SHAREHOLDER | 06/2002 | > 75% |
| JOENK, STEVEN, MICHAEL | Individual | – | DIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 02/2011 | < 5% |
| PAOLO, JOSEPH, JOHN | Individual | – | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 02/2011 | < 5% |
| WALSH, BRIAN, E (MI ONLY) | Individual | – | DIRECTOR AND SENIOR VICE PRESIDENT | 02/2011 | < 5% |
| EQUITABLE HOLDINGS, INC. | Domestic Entity | EQUITABLE FINANCIAL SERVICES, LLC | SHAREHOLDER | 10/2018 | > 75% |
| KOZLOWSKI, KENNETH, THOMAS | Individual | – | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 05/2017 | < 5% |
| 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% |