DFX Intelligence

Data Factory

The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC

CRD 156933

NEW YORK, NY

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:dff1aaa1-29ea-148b-dddc-b738420aaefe

Data as of Mar 27, 2026 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 6
On other graphs: 0
Observed: Feb 1, 2012 to Mar 27, 2026
36 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=17.0
Regulatory AUM: $167BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $167B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 67
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 113
SEC number: 801-72220
CRD: 156933
Filings on the tape: 36
First filed: Feb 1, 2012
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, DE
Website: equitable-funds.com

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
Baehr, Jessica, Lynn	PRESIDENT AND CHIEF OPERATING OFFICER	NA	yes	02/2024	Mar 28, 2024	Mar 28, 2024
Daly, Shane	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY	NA	yes	03/2023	Mar 30, 2023	Mar 28, 2024
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY	MEMBER	E	yes	02/2011	Jun 16, 2020	Mar 28, 2024
EQUITABLE FINANCIAL SERVICES, LLC	SHAREHOLDER	E	yes	06/2002	Jun 16, 2020	Mar 28, 2024
EQUITABLE HOLDINGS, INC.	SHAREHOLDER	E	yes	10/2018	Mar 27, 2020	Mar 28, 2024
JOENK, STEVEN, MICHAEL	DIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER	NA	yes	02/2011	Feb 1, 2012	Mar 28, 2024
KOZLOWSKI, KENNETH, THOMAS	DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	yes	05/2017	Mar 29, 2018	Mar 28, 2024
PAOLO, JOSEPH, JOHN	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	NA	yes	02/2011	Feb 1, 2012	Mar 28, 2024
WALSH, BRIAN, E (MI ONLY)	DIRECTOR AND SENIOR VICE PRESIDENT	NA	yes	02/2011	Feb 1, 2012	Mar 28, 2024

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	N	yes	n/a
EQUITABLE ADVISORS, LLC	n/a	NATIONAL BD RIA	$42B	N	yes	n/a
AB CARVAL INVESTORS, LP	n/a	ASSET MANAGER	$18B	N	yes	n/a
AB PRIVATE CREDIT INVESTORS LLC	n/a	ASSET MANAGER	$11B	N	yes	n/a
PLANMEMBER SECURITIES CORPORATION	n/a	INDEPENDENT WEALTH	$10B	N	yes	n/a
AB BROADLY SYNDICATED LOAN MANAGER LLC	n/a	ASSET MANAGER	$2.6B	N	yes	n/a
EQUITABLE INVESTMENT MANAGEMENT, LLC	n/a	ASSET MANAGER	$1.5B	N	yes	n/a
AB CUSTOM ALTERNATIVE SOLUTIONS LLC	n/a	INSTITUTIONAL MANAGER	$1.4B	N	yes	n/a
SANFORD C. BERNSTEIN & CO., LLC	n/a	OTHER ADVISER	$1.2B	N	yes	n/a
W.P. STEWART ASSET MANAGEMENT LTD.	n/a	FORMER SEC ADVISER	$266M	N	yes	n/a
ALLIANCEBERNSTEIN CORPORATION	n/a	NO RAUM REPORTED	$0	N	yes	n/a
ALLIANCEBERNSTEIN HOLDING L.P.	n/a	NO RAUM REPORTED	$0	N	yes	n/a
BERNSTEIN INSTITUTIONAL SERVICES LLC	n/a	NO RAUM REPORTED	$0	N	yes	n/a
PLANMEMBER ASSET MANAGEMENT CORPORATION	n/a	NO RAUM REPORTED	$0	N	yes	n/a
ALLIANCEBERNSTEIN INVESTMENTS, INC.	n/a	n/a	n/a	N	yes	n/a
ALLIANCEBERNSTEIN TRUST COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
EQUITABLE DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
EQUITABLE FINANCIAL INVESTMENT MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
EQUITABLE FINANCIAL LIFE INSURANCE COMPANY OF AMERICA	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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$167B	$167B	67	11	0	n/a	n/a
2024	Mar 28, 2025	$163B	$163B	69	11	0	n/a	n/a
2023	Mar 28, 2024	$157B	$157B	63	11	0	n/a	n/a
2022	Mar 30, 2023	$144B	$144B	62	10	0	n/a	n/a
2021	Mar 29, 2022	$186B	$186B	70	12	0	n/a	n/a
2020	Mar 29, 2021	$174B	$174B	70	12	0	n/a	n/a
2019	Mar 27, 2020	$164B	$164B	70	12	0	n/a	n/a
2018	Mar 29, 2019	$145B	$145B	70	13	0	n/a	n/a
2017	Mar 29, 2018	$165B	$165B	56	20	1	n/a	n/a
2016	Mar 30, 2017	$149B	$149B	65	17	n/a	n/a	n/a
2015	Mar 30, 2016	$144B	$144B	63	11	n/a	n/a	n/a
2014	Mar 31, 2015	$153B	$153B	58	10	n/a	n/a	n/a
2013	Mar 31, 2014	$142B	$142B	54	12	n/a	n/a	n/a
2012	Apr 1, 2013	$131B	$131B	57	10	n/a	n/a	n/a
2011	Mar 29, 2012	$126B	$126B	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
2025	$167B	$163B	2.8%	$144B	5.2%	67	69	0	0

Relationships

Affiliated with (31)

← EQUITABLE ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← AB PRIVATE CREDIT INVESTORS LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← ALLIANCEBERNSTEIN L.P.Registered adviserother investment adviser, bank, common control
factsec_form_adv_history
← BERNSTEIN INSTITUTIONAL SERVICES LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← SANFORD C. BERNSTEIN & CO., LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← ALLIANCEBERNSTEIN HOLDING L.P.Registered adviserother investment adviser, bank, common control
factsec_form_adv_history
← ALLIANCEBERNSTEIN CORPORATIONRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← AB CUSTOM ALTERNATIVE SOLUTIONS LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← AB CARVAL INVESTORS, LPRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← CARVAL CLO MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← AB BROADLY SYNDICATED LOAN MANAGER LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
→ SANFORD C. BERNSTEIN & CO., LLCRegistered adviserother investment adviser, broker-dealer, bank, trust company, common control
factsec_form_adv_history
→ ALLIANCEBERNSTEIN HOLDING L.P.Registered adviserother investment adviser, common control
factsec_form_adv_history
→ ALLIANCEBERNSTEIN CORPORATIONRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ ALLIANCEBERNSTEIN L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ AB CUSTOM ALTERNATIVE SOLUTIONS LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ W.P. STEWART ASSET MANAGEMENT LTD.Registered adviserother investment adviser, common control
factsec_form_adv_history
→ AB CARVAL INVESTORS, LPRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ AB PRIVATE CREDIT INVESTORS LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ PLANMEMBER ASSET MANAGEMENT CORPORATIONRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ AB BROADLY SYNDICATED LOAN MANAGER LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ BERNSTEIN INSTITUTIONAL SERVICES LLCRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ EQUITABLE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ EQUITABLE ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
← EQUITABLE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← W.P. STEWART ASSET MANAGEMENT LTD.Registered adviserother investment adviser, bank, common control
factsec_form_adv_history
← PENN INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, bank, common control
factsec_form_adv_history
← W.P. STEWART & CO., LLCRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
← ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATIONRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
and 1 more

Controls (9)

← JOENK, STEVEN, MICHAELOwnerDIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 1, 2012 to Mar 28, 2024factsec_form_adv_history
← KOZLOWSKI, KENNETH, THOMASOwnerDIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2018 to Mar 28, 2024factsec_form_adv_history
← WALSH, BRIAN, E (MI ONLY)OwnerDIRECTOR AND SENIOR VICE PRESIDENT, ownership code NA, individual
Feb 1, 2012 to Mar 28, 2024factsec_form_adv_history
← PAOLO, JOSEPH, JOHNOwnerSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 1, 2012 to Mar 28, 2024factsec_form_adv_history
← Baehr, Jessica, LynnOwnerPRESIDENT AND CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factsec_form_adv_history
← Daly, ShaneOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY, ownership code NA, individual
Mar 30, 2023 to Mar 28, 2024factsec_form_adv_history
← EQUITABLE FINANCIAL LIFE INSURANCE COMPANYOwnerMEMBER, ownership code E, domestic entity
Jun 16, 2020 to Mar 28, 2024factsec_form_adv_history
← EQUITABLE FINANCIAL SERVICES, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 16, 2020 to Mar 28, 2024factsec_form_adv_history
← EQUITABLE HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 27, 2020 to Mar 28, 2024factsec_form_adv_history

Dated events

Occurred
Mar 28, 2024
Control person joined
Lynn Jessica Baehr (President And Chief Operating Officer) appeared on Schedule A of Equitable Investment Management Group, Llc
sec_form_adv_historyobserved 3 days ago
Occurred
Aug 14, 2023
Control person left
Levy Michal Lopatin (Director, President And Chief Operating Officer) no longer on Schedule A of Equitable Investment Management Group, Llc (listed 2023-03-30, absent 2023-08-14)
sec_form_adv_historyobserved 3 days ago
Occurred
Mar 30, 2023
Control person joined
Shane Daly (Executive Vice President, General Counsel, And Secretary) appeared on Schedule A of Equitable Investment Management Group, Llc
sec_form_adv_historyobserved 3 days ago
Occurred
Oct 21, 2022
Control person left
T William Macgregor (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of Equitable Investment Management Group, Llc (listed 2022-03-29, absent 2022-10-21)
sec_form_adv_historyobserved 3 days ago
Occurred
Mar 29, 2019
Control person joined
T William Macgregor (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Equitable Investment Management Group, Llc
sec_form_adv_historyobserved 3 days ago
Occurred
Mar 29, 2019
Control person left
(Nmn) Patricia Louie (Executive Vice President And General Counsel) no longer on Schedule A of Equitable Investment Management Group, Llc (listed 2018-03-29, absent 2019-03-29)
sec_form_adv_historyobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dff1aaa1-29ea-148b-dddc-b738420aaefe
First observed: Feb 1, 2012
Last observed: Mar 27, 2026 5 months ago
Sources: sec_form_adv_history, sec_adv_roster, iapd_firm_feed
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.

EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC

CRD 156933

NEW YORK, NY

Data as of Mar 27, 2026 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Baehr, Jessica, Lynn

PRESIDENT AND CHIEF OPERATING OFFICER

yes

02/2024

Mar 28, 2024

Daly, Shane

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY

yes

03/2023

Mar 30, 2023

Mar 28, 2024

EQUITABLE FINANCIAL LIFE INSURANCE COMPANY

MEMBER

yes

02/2011

Jun 16, 2020

Mar 28, 2024

EQUITABLE FINANCIAL SERVICES, LLC

SHAREHOLDER

yes

06/2002

Jun 16, 2020

Mar 28, 2024

EQUITABLE HOLDINGS, INC.

SHAREHOLDER

yes

10/2018

Mar 27, 2020

Mar 28, 2024

JOENK, STEVEN, MICHAEL

DIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER

yes

02/2011

Feb 1, 2012

Mar 28, 2024

KOZLOWSKI, KENNETH, THOMAS

DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

05/2017

Mar 29, 2018

Mar 28, 2024

PAOLO, JOSEPH, JOHN

SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

02/2011

Feb 1, 2012

Mar 28, 2024

WALSH, BRIAN, E (MI ONLY)

DIRECTOR AND SENIOR VICE PRESIDENT

yes

02/2011

Feb 1, 2012

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALLIANCEBERNSTEIN L.P.

n/a

OTHER ADVISER

$763B

yes

n/a

EQUITABLE ADVISORS, LLC

n/a

NATIONAL BD RIA

$42B

yes

n/a

AB CARVAL INVESTORS, LP

n/a

ASSET MANAGER

$18B

yes

n/a

AB PRIVATE CREDIT INVESTORS LLC

n/a

ASSET MANAGER

$11B

yes

n/a

PLANMEMBER SECURITIES CORPORATION

n/a

INDEPENDENT WEALTH

$10B

yes

n/a

AB BROADLY SYNDICATED LOAN MANAGER LLC

n/a

ASSET MANAGER

$2.6B

yes

n/a

EQUITABLE INVESTMENT MANAGEMENT, LLC

n/a

ASSET MANAGER

$1.5B

yes

n/a

AB CUSTOM ALTERNATIVE SOLUTIONS LLC

n/a

INSTITUTIONAL MANAGER

$1.4B

yes

n/a

SANFORD C. BERNSTEIN & CO., LLC

n/a

OTHER ADVISER

$1.2B

yes

n/a

W.P. STEWART ASSET MANAGEMENT LTD.

n/a

FORMER SEC ADVISER

$266M

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

BERNSTEIN INSTITUTIONAL SERVICES LLC

n/a

NO RAUM REPORTED

yes

n/a

PLANMEMBER ASSET MANAGEMENT CORPORATION

n/a

NO RAUM REPORTED

yes

n/a

ALLIANCEBERNSTEIN INVESTMENTS, INC.

n/a

yes

n/a

ALLIANCEBERNSTEIN TRUST COMPANY, LLC

n/a

yes

n/a

EQUITABLE DISTRIBUTORS, LLC

n/a

yes

n/a

EQUITABLE FINANCIAL INVESTMENT MANAGEMENT, LLC

n/a

yes

n/a

EQUITABLE FINANCIAL LIFE INSURANCE COMPANY

n/a

yes

n/a

EQUITABLE FINANCIAL LIFE INSURANCE COMPANY OF AMERICA

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$167B

n/a

2024

Mar 28, 2025

$163B

n/a

2023

Mar 28, 2024

$157B

n/a

2022

Mar 30, 2023

$144B

n/a

2021

Mar 29, 2022

$186B

n/a

2020

Mar 29, 2021

$174B

n/a

2019

Mar 27, 2020

$164B

n/a

2018

Mar 29, 2019

$145B

n/a

2017

Mar 29, 2018

$165B

n/a

2016

Mar 30, 2017

$149B

n/a

2015

Mar 30, 2016

$144B

n/a

2014

Mar 31, 2015

$153B

n/a

2013

Mar 31, 2014

$142B

n/a

2012

Apr 1, 2013

$131B

n/a

2011

Mar 29, 2012

$126B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$167B

$163B

2.8%

$144B

5.2%