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.

Former SEC-registered adviser

Alliancebernstein Global Derivatives Corporation

Former SEC-registered adviserNew York, New YorkCRD 107439SEC 801-40414IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)0 as of Mar 29, 2019
Apr 1, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Edward Laurence Cranch · Senior Vice Presidentcontrol
        since 11/2006 · owns less than 5%
      • Michael David Lesser · Corporate Secretarycontrol
        since 09/2016 · owns less than 5%
      • Bruce Joshua Lisser · President And Directorcontrol
        since 01/2001 · owns less than 5%
      • Randall Mark Manley · Director, Secretary And Chief Compliance Officercontrol
        since 08/1991 · owns less than 5%
      Entity owners
      • Alliancebernstein Corporation Of Delaware ("Abcd") · 100% Sharholder Of Registrant
        direct · owns 75% or more
      • Alliancebernstein L.P. · 100% Shareholder
        indirect · owns 75% or more of Alliancebernstein Corporation Of Delaware · public reporting company
      Related persons
      Schedule D 7.A
      • Ab Bernstein Israel Ltd.
        investment advisern
      • Ab Custom Alternative Solutions LLC
        investment adviserbanknRAUM $1.4B
      • Ab Private Credit Investors LLC
        investment advisernRAUM $11B
      • Ab Trust Company, LLC
        n
      • Alliancebernstein (Luxembourg) S.A.
        investment advisern
      • Alliancebernstein (Singapore) Limited
        investment advisern
      • Alliancebernstein Administradora De Carteiras (Brasil) Ltda.
        investment advisern
      • Alliancebernstein Asset Management (Korea) Ltd.
        investment advisern
      • Alliancebernstein Australia Limited
        investment advisern
      • Alliancebernstein Canada, Inc.
        investment advisern
      • Alliancebernstein Corporation
        investment adviserpooled vehicle sponsory
      • Alliancebernstein Holding L.P.
        investment advisern
      • Alliancebernstein Hong Kong Limited
        investment advisern
      • Alliancebernstein Investments, Inc.
        broker-dealerreal estaten
      • Alliancebernstein Japan Ltd.
        investment advisern
      • Alliancebernstein L.P.
        investment adviserbankpooled vehicle sponsoryRAUM $763B
      • Alliancebernstein Limited
        investment advisern
      • Equitable Advisors, LLC
        broker-dealerinvestment advisernRAUM $42B
      • Axa Distributors, LLC
        broker-dealerreal estaten
      • Equitable Investment Management Group, LLC
        investment adviserbanknRAUM $167B
      • Axa Equitable Life Insurance Company
        real estaten
      • Axa Investment Managers Inc.
        investment advisern
      • Axa Rosenberg Investment Management LLC
        investment adviserbankn
      • Axa S.A.
        real estatey
      • Cph Capital Fondsmaeglerselskab A/S
        investment advisern
      • Planmember Securities Corporation
        broker-dealerinvestment advisernRAUM $10B
      • Sanford C. Bernstein (Canada) Ltd.
        broker-dealern
      • Sanford C. Bernstein (Hong Kong) Limited
        broker-dealern
      • Sanford C. Bernstein (Schweiz) Gmbh
        broker-dealern
      • Sanford C. Bernstein & Co., LLC
        broker-dealerinvestment adviserbanknRAUM $1.2B
      Advisers that list Alliancebernstein Global Derivatives Corporation as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 23 to 0
        Dec 15, 2017 to Mar 28, 2018
      • Other offices · unset to 23.0
        May 2, 2017 to Dec 15, 2017
      • BD registered reps · 2 to 0
        Aug 1, 2014 to Mar 30, 2015
      • Employees · 2 to 0
        Aug 1, 2014 to Mar 30, 2015
      • BD registered reps · 4 to 2
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 4 to 2
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 0.0
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · 0 to 4
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Apr 1, 2013
      Signals
      3 dated events
      • Joseph Edward Farrell (Svp & Controller) no longer on Schedule A of Alliancebernstein Global Derivatives Corporation (listed 2018-03-28, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Perry Seth Bernstein (Chief Executive Officer Of Ablp) no longer on Schedule A of Alliancebernstein Global Derivatives Corporation (listed 2018-03-28, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Alliancebernstein Global Derivatives Corporation reported 0 offices beyond its principal office, down from 23 (2017-12-15 to 2018-03-28)
        Mar 28, 2018 · Office count change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered 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