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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

ALLIANCE CORPORATE FINANCE GROUP INC

CRD 107437

NEW YORK, NY

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Search this name across graphsid dfx:ria:d582ec86-1f96-3e68-990f-654da59eb6e2

Data as of Aug 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Aug 1, 2014
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
SEC number: 801-43569
CRD: 107437
Filings on the tape: 5
First filed: Mar 30, 2012
Latest filed: Aug 1, 2014
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")	100% SHAREHOLDER OF REGISTRANT	E	yes	03/1993	Mar 30, 2012	Aug 1, 2014
ALLIANCEBERNSTEIN L.P.	100% SHAREHOLDER	E	yes	08/1991	Mar 30, 2012	Aug 1, 2014
CRANCH, LAURENCE, EDWARD	Director	Na	yes	11/2004	Mar 30, 2012	Aug 1, 2014
FARRELL, EDWARD, JOSEPH	DIRECTOR, ASST TREASURER	Na	yes	11/2004	Mar 30, 2012	Aug 1, 2014
MANLEY, MARK, RANDALL	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND ASST SECRETARY	Na	yes	03/1993	Mar 30, 2012	Aug 1, 2014
MANTINEO, JOSEPH, JOHN	VICE PRESIDENT AND CHIEF FINANCE OFFICER	Na	yes	02/1999	Mar 30, 2012	Aug 1, 2014
RODRIGUEZ, JUAN	VICE PRESIDENT AND CHIEF ACCOUNTING OFFICER	Na	yes	09/2000	Mar 30, 2012	Aug 1, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ALLIANCEBERNSTEIN L.P.	n/a	Other adviser	$763B	Y	yes	n/a
AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC	n/a	Asset manager	$167B	N	yes	n/a
AXA INVESTMENT MANAGERS INC	n/a	Asset manager	$79B	N	yes	n/a
AXA ADVISORS, LLC	n/a	National bd RIA	$42B	N	yes	n/a
AXA ROSENBERG INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$22B	N	yes	n/a
PLANMEMBER SECURITIES CORPORATION	n/a	Independent wealth	$10B	N	yes	n/a
ARDIAN US LLC	n/a	Asset manager	$2.8B	N	yes	n/a
SANFORD C. BERNSTEIN & CO., LLC	n/a	Other adviser	$1.2B	N	yes	n/a
ALLIANCEBERNSTEIN CORPORATION	n/a	No RAUM reported	$0	Y	yes	n/a
ALLIANCEBERNSTEIN HOLDING L.P.	n/a	No RAUM reported	$0	N	yes	n/a
AB TRUST COMPANY LLC	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN (SINGAPORE) LIMITED	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN ASSET MANAGEMENT KOREA LTD	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN CANADA INC.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION	n/a	Former SEC adviser	n/a	N	yes	n/a
ALLIANCEBERNSTEIN INVESTMENTS (BRASIL) LTDA.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN INVESTMENTS, INC.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN JAPAN LTD.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN LIMITED	n/a	n/a	n/a	N	yes	n/a
AXA DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
CPH CAPITAL FONDSMAEGLERSELSKAB A/S	n/a	n/a	n/a	N	yes	n/a
SANFORD C. BERNSTEIN (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
SANFORD C. BERNSTEIN LIMITED	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Offices	Private funds	Fund GAV
2013	Mar 31, 2014	n/a	n/a	0	n/a	n/a	n/a
2012	Mar 27, 2013	n/a	n/a	5	n/a	n/a	n/a
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	n/a	n/a	n/a	n/a	n/a	0	5	n/a	n/a

Relationships

Affiliated with (11)

→ SANFORD C. BERNSTEIN & CO., LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ ALLIANCEBERNSTEIN HOLDING L.P.Registered adviserother investment adviser, common control
factForm ADV
→ ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATIONRegistered adviserother investment adviser, common control
factForm ADV
→ ALLIANCEBERNSTEIN CORPORATIONRegistered adviserother investment adviser, control, common control
factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserother investment adviser, control, common control
factForm ADV
→ AXA ROSENBERG INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ AXA INVESTMENT MANAGERS US INCRegistered adviserother investment adviser, common control
factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ ARDIANRegistered adviserother investment adviser, common control
factForm ADV
→ EQUITABLE INVESTMENT MANAGEMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← ALLIANCEBERNSTEIN L.P.Owner100% SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← MANLEY, MARK, RANDALLOwnerVICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND ASST SECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← RODRIGUEZ, JUANOwnerVICE PRESIDENT AND CHIEF ACCOUNTING OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MANTINEO, JOSEPH, JOHNOwnerVICE PRESIDENT AND CHIEF FINANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FARRELL, EDWARD, JOSEPHOwnerDIRECTOR, ASST TREASURER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CRANCH, LAURENCE, EDWARDOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")Owner100% SHAREHOLDER OF REGISTRANT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d582ec86-1f96-3e68-990f-654da59eb6e2
First observed: Mar 30, 2012
Last observed: Aug 1, 2014 147 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ALLIANCE CORPORATE FINANCE GROUP INC

CRD 107437

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d582ec86-1f96-3e68-990f-654da59eb6e2

Data as of Aug 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")

100% SHAREHOLDER OF REGISTRANT

yes

03/1993

Mar 30, 2012

Aug 1, 2014

ALLIANCEBERNSTEIN L.P.

100% SHAREHOLDER

yes

08/1991

Mar 30, 2012

Aug 1, 2014

CRANCH, LAURENCE, EDWARD

Director

yes

11/2004

Mar 30, 2012

Aug 1, 2014

FARRELL, EDWARD, JOSEPH

DIRECTOR, ASST TREASURER

yes

11/2004

Mar 30, 2012

Aug 1, 2014

MANLEY, MARK, RANDALL

VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND ASST SECRETARY

yes

03/1993

Mar 30, 2012

Aug 1, 2014

MANTINEO, JOSEPH, JOHN

VICE PRESIDENT AND CHIEF FINANCE OFFICER

yes

02/1999

Mar 30, 2012

Aug 1, 2014

RODRIGUEZ, JUAN

VICE PRESIDENT AND CHIEF ACCOUNTING OFFICER

yes

09/2000

Mar 30, 2012

Aug 1, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALLIANCEBERNSTEIN L.P.

n/a

Other adviser

$763B

yes

n/a

AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC

n/a

Asset manager

$167B

yes

n/a

AXA INVESTMENT MANAGERS INC

n/a

Asset manager

$79B

yes

n/a

AXA ADVISORS, LLC

n/a

National bd RIA

$42B

yes

n/a

AXA ROSENBERG INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$22B

yes

n/a

PLANMEMBER SECURITIES CORPORATION

n/a

Independent wealth

$10B

yes

n/a

ARDIAN US LLC

n/a

Asset manager

$2.8B

yes

n/a

SANFORD C. BERNSTEIN & CO., LLC

n/a

Other adviser

$1.2B

yes

n/a

ALLIANCEBERNSTEIN CORPORATION

n/a

No RAUM reported

yes

n/a

ALLIANCEBERNSTEIN HOLDING L.P.

n/a

No RAUM reported

yes

n/a

AB TRUST COMPANY LLC

n/a

yes

n/a

ALLIANCEBERNSTEIN (LUXEMBOURG) S.A.

n/a

yes

n/a

ALLIANCEBERNSTEIN (SINGAPORE) LIMITED

n/a

yes

n/a

ALLIANCEBERNSTEIN ASSET MANAGEMENT KOREA LTD

n/a

yes

n/a

ALLIANCEBERNSTEIN AUSTRALIA LIMITED

n/a

yes

n/a

ALLIANCEBERNSTEIN CANADA INC.

n/a

yes

n/a

ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION

n/a

Former SEC adviser

n/a

yes

n/a

ALLIANCEBERNSTEIN INVESTMENTS (BRASIL) LTDA.

n/a

yes

n/a

ALLIANCEBERNSTEIN INVESTMENTS, INC.

n/a

yes

n/a

ALLIANCEBERNSTEIN JAPAN LTD.

n/a

yes

n/a

ALLIANCEBERNSTEIN LIMITED

n/a

yes

n/a

AXA DISTRIBUTORS, LLC

n/a

yes

n/a

CPH CAPITAL FONDSMAEGLERSELSKAB A/S

n/a

yes

n/a

SANFORD C. BERNSTEIN (HONG KONG) LIMITED

n/a

yes

n/a

SANFORD C. BERNSTEIN LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

n/a

2012

Mar 27, 2013

n/a

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

n/a