DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• C• B•••••••• • C••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Sep 28, 2000
RAUM
$1.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
7.1%
$87.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 29, 2012$0 then
HNW client RAUM$87.0M as of Mar 30, 2026
Mar 28, 2018$9.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)0 as of Mar 30, 2026
Mar 28, 2013250 then
Private funds: no history
RAUM -26% over the last fiscal year-35% a year over threeIARs 0 to 0offices 24 to 23
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $887,755derivedHNW RAUM over HNW clients
- Average account
- $8.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived24 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +989%derived
- Compensation
- percentage of assets, fixed fees, subscription, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $128M, 103 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$636M52%
- Pension and profit-sharing plans$290M24%
- State and municipal entities$149M12%
- High-net-worth individuals$87.0M7.1%
- Charitable organizations$41.0M3.4%
- Insurance companies$12.0M1.0%
- Corporations and businesses$3.0M0.2%
- Individual clients
- 0reported
- HNW clients
- 98reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 139reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $128M for 103 clientsreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.07 fund_share=0.52 institutional_share=0.4 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- N••••• K•••••• S•••••• to A••••••••• L•••Feb 20, 2018 · Other
- F••••••• J••••• L•••• to U•• F•••••••• S••••••• I•••Sep 28, 2017 · Other
- J••••••• J•• B•••••• to A•••••• G••••• I•••••••• U••• L••Nov 6, 2014 · Other
- J•••••• W•••••• T••••••• to N•• E••• W•••••Nov 13, 2013 · Other
- B•••• F••••• H•••••••• to L•••Sep 6, 2013 · Other
- L••• G••••• O••••• to H•••••••• A•••••••• L••Apr 8, 2013 · Other
- L••••• A•• R•••• to C••••• I••••••••• A••••••• L••Mar 15, 2013 · Other
- L••• J•••••• K•••• to M•••• • P••••Mar 15, 2013 · Other
- M•••••• S• S•••••• to P••••••• T••••••••• P•••••••Mar 13, 2013 · Other
- W•••••• E•••••• G•••••• to R•• C•••••• M••••••• L••Mar 5, 2013 · Other
- S••••• H•••• K••• to A••••••••• L•••Nov 16, 2012 · Other
- W••• V•• S••••• C•••• to M••••• S••••••Nov 16, 2012 · Other
- K•••• O••••• N••••••••• to A••••••••• L•••Oct 25, 2012 · Other
- J••• C•••••••• F••••••••• to A••••••••• L•••May 9, 2012 · Other
- C••••••••• J•••• G••• to A••••••••• L•••Sep 16, 2011 · Other
Joined, latest
- J••••••• J•• B•••••• from A••••••••• L•••May 22, 2014 · Other
- M•••••• S• S•••••• from A••••••••• L•••Mar 12, 2013 · Other
- L••••• A•• R•••• from A••••••••• L•••Mar 11, 2013 · Other
- L••• J•••••• K•••• from A••••••••• L•••Mar 11, 2013 · Other
- W•••••• E•••••• G•••••• from A••••••••• L•••Mar 4, 2013 · Other
- B•••• F••••• H•••••••• from A••••••••• L•••Feb 26, 2013 · Other
- L••• G••••• O••••• from A••••••••• L•••Feb 26, 2013 · Other
- J•••••• W•••••• T••••••• from A••••••••• L•••Feb 26, 2013 · Other
- J••• C•••••••• F••••••••• from S•••••••• A••••••• L••Apr 3, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- F••••••• J••••• L•••• from A••••••••• L•••Apr 11, 2011 · Other
- W••• V•• S••••• C•••• from A••••••••• L•••Apr 11, 2011 · Other
- W•••••• B••••••• from A••••••••• L•••Oct 15, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• E••••• · Chief Executive Officercontrolsince 03/2021 · owns less than 5%
- E••••••••• S••••• M•••••• · Head Of Business Developmentsince 09/2022 · owns less than 5%
- K••••••• G••• M•••••• · Chief Financial Officer And Directorsince 10/2018 · owns less than 5%
- P••••••• K•••• A••••• · Principal Operations Officersince 03/2024 · owns less than 5%
- W•••••• D••••• E••••• · Chief Compliance Officersince 07/2023 · owns less than 5%
Entity owners
- A••••••• C•••••• M••••••••• L•• · Sole LLC Memberdirect · owns 75% or more
- A••••••••• L••• ••••••• · Sole Memberindirect · owns 75% or more of A••••••• C•••••• M••••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A• ••••••••• I••••••••• M••••••••• C••• L•••investment advisern
- A• ••••••••• O••••••• I••••••••• F••• M••••••••• C••• L••investment advisern
- A• B•••••••• I••••• L•••investment advisern
- A• B•••••• S••••••••• L••• M•••••• L••investment advisernRAUM $2.6B
- A• C••••• I••••••••• L•investment adviseryRAUM $18B
- A• C••••• A••••••••• S•••••••• L••investment adviserbanknRAUM $1.4B
- A• P•••••• C••••• I•••••••• L••investment advisernRAUM $11B
- A• T•••• C••••••• L••n
- A••••••••• ••••••••• S•••••••investment advisern
- A••••••••• ••••••••• L••••••investment advisern
- A••••••••• A••••••••• D• C•••••••• ••••••• L••••investment advisern
- A••••••••• A•••• M••••••••• •••••• L•••investment advisern
- A••••••••• A•••••••• L••••••investment advisern
- A••••••••• C••••• I•••investment advisern
- A••••••••• C•••••••••investment advisery
- A••••••••• H•••••• L•••investment advisern
- A••••••••• H••• K••• L••••••investment advisern
- A••••••••• I••••••••• I•••broker-dealerreal estaten
- A••••••••• J•••• L•••investment advisern
- A••••••••• L•••investment adviserbankpooled vehicle sponsoryRAUM $763B
- A••••••••• L••••••investment advisern
- B•••••••• A••••••••• L••broker-dealern
- B•••••••• I••••••••• S••••••• L••broker-dealerinvestment advisern
- C•• C•••••• F••••••••• A••investment advisern
- E•••••••• A•••••••• L••broker-dealerinvestment advisernRAUM $42B
- E•••••••• D••••••••• L••broker-dealerreal estaten
- E•••••••• F•••••••• L••• I•••••••• C••••••real estatey
- E•••••••• F•••••••• S••••••• C•••••• O• A••••••real estaten
- E•••••••• I••••••••• M••••••••• G••••• L••investment adviserbanknRAUM $167B
- P••• I••••••••• A•••••••• I•••investment advisernRAUM $574M
Advisers that list S•••••• C• B•••••••• • C••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY91 employees
- Nashville, TN67 employees
- Los Angeles, CA56 employees
- Chicago, IL48 employees
- Washington, DC39 employees
- San Francisco, CA38 employees
- Houston, TX33 employees
- Philadelphia, PA29 employees
- Boston, MA27 employees
- Miami, FL23 employees
- West Palm Beach, FL22 employees
- Dallas, TX21 employees
- Denver, CO21 employees
- Minneapolis, MN19 employees
- Tampa, FL19 employees
- Seattle, WA18 employees
- San Diego, CA17 employees
- Cleveland, OH16 employees
- Atlanta, GA13 employees
- Stamford, CT9 employees
- Pittsburgh, PA3 employees
- Tel Aviv, Israel2 employees
- Scottsdale, AZ1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- i••••••••• asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 24.0% to 41.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: other advisers, $1B to $5B (247)
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,648,000,000 to $1,218,000,000 (-26.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +11.0% (231 comparable advisers, 6.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 6.1% percentile
What changed
consecutive filings, newest first
- Accounts · 26 to 139Jun 17, 2025 to Mar 30, 2026
- Charity clients · 3 to 5Jun 17, 2025 to Mar 30, 2026
- Corporate clients · 0 to 1Jun 17, 2025 to Mar 30, 2026
- HNW clients · 9 to 98Jun 17, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 1Jun 17, 2025 to Mar 30, 2026
- Pooled vehicle clients · 6 to 5Jun 17, 2025 to Mar 30, 2026
- Assets in custody · $109M to $128MJun 17, 2025 to Mar 30, 2026
- Other offices · 24 to 23Jun 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.2BJun 17, 2025 to Mar 30, 2026
- HNW RAUM · $17.0M to $87.0MJun 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $41.0MJun 17, 2025 to Mar 30, 2026
- Pension RAUM · $220M to $290MJun 17, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $636MJun 17, 2025 to Mar 30, 2026
- RAUM · $1.6B to $1.2BJun 17, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250Mar 28, 2025 to Jun 17, 2025
- Accounts · 33 to 26Oct 30, 2024 to Mar 28, 2025
- Pension plan clients · 3 to 2Oct 30, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 6Oct 30, 2024 to Mar 28, 2025
- Assets in custody · $0 to $109MOct 30, 2024 to Mar 28, 2025
- Custody of client assets · false to trueOct 30, 2024 to Mar 28, 2025
- Other offices · 23 to 24Oct 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.7B to $1.6BOct 30, 2024 to Mar 28, 2025
- HNW RAUM · $14.0M to $17.0MOct 30, 2024 to Mar 28, 2025
- Pension RAUM · $391M to $220MOct 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.1B to $1.2BOct 30, 2024 to Mar 28, 2025
- RAUM · $3.7B to $1.6BOct 30, 2024 to Mar 28, 2025
- HQ city · NEW YORK to NASHVILLEMar 28, 2024 to Oct 7, 2024
- HQ state · NY to TNMar 28, 2024 to Oct 7, 2024
- Other offices · 22 to 23Mar 28, 2024 to Oct 7, 2024
- Accounts · 32 to 33Jun 29, 2023 to Mar 28, 2024
- Charity clients · 2 to 3Jun 29, 2023 to Mar 28, 2024
- HNW clients · 8 to 9Jun 29, 2023 to Mar 28, 2024
- Pension plan clients · 4 to 3Jun 29, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 101-250Jun 29, 2023 to Mar 28, 2024
- Other offices · 17 to 22Jun 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.5B to $3.7BJun 29, 2023 to Mar 28, 2024
- HNW RAUM · $10.0M to $14.0MJun 29, 2023 to Mar 28, 2024
- Pension RAUM · $385M to $391MJun 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.8B to $3.1BJun 29, 2023 to Mar 28, 2024
- RAUM · $4.5B to $3.7BJun 29, 2023 to Mar 28, 2024
Signals
10 dated events
- S•••••• C• B•••••••• • C••• L•• reported RAUM $1.2B, down 26% from $1.6B (2025-06-17 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••••• C• B•••••••• • C••• L•• reported RAUM $1.6B, down 56% from $3.7B (2024-10-30 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Robert P. Van Brugge (Chairman, Chief Executive Officer And Director) no longer on Schedule A of S•••••• C• B•••••••• • C••• L•• (listed 2024-10-07, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- S•••••• C• B•••••••• • C••• L•• reported 22 offices beyond its principal office, up from 17 (2023-06-29 to 2024-03-28)Mar 28, 2024 · Office count change · derived
- Richard Edward Meyers (Head Of Bernstein Private Wealth Management And Director) appeared on Schedule A of S•••••• C• B•••••••• • C••• L••Mar 28, 2024 · Control person joined · fact
- S•••••• C• B•••••••• • C••• L•• reported RAUM $4.5B, down 35% from $7.0B (2022-09-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S•••••• C• B•••••••• • C••• L•• reported 16 offices beyond its principal office, down from 25 (2022-01-24 to 2022-03-31)Mar 31, 2022 · Office count change · derived
- David S Barnard (Svp/Head Of Bernstein Global Wealth Mgmt) no longer on Schedule A of S•••••• C• B•••••••• • C••• L•• (listed 2021-07-06, absent 2022-01-24)Jan 24, 2022 · Control person left · inference
- Edward Joseph Farrell (Director & Chief Financial Officer) no longer on Schedule A of S•••••• C• B•••••••• • C••• L•• (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Gary Michael Krueger (Director, Chief Financial Officer) appeared on Schedule A of S•••••• C• B•••••••• • C••• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S•••••• C• B•••••••• • C••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ab-carvalreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/abglobalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alliancebernstein.bsky.socialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-622-0000reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S•••••• C• B•••••••• • C••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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