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.
SEC-registered adviser
Richard Bernstein Advisors LLC
Latest filing Aug 17, 2026
First filing on the tape Feb 21, 2012 · 40 filings
SEC status approved since Jun 1, 2010
RAUM
$181M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$181M as of Aug 17, 2026
Feb 21, 2012$371M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2026
Feb 21, 20120 then
Employees (5.A)28 as of Aug 17, 2026
Mar 26, 201310 then
Private funds: no history
RAUM -96% over the last fiscal year-67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 17, 2026; 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
- $90.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$181M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=11.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nmn Richard Bernstein · Chief Executive Officer, Chief Investment Officer, Board Member And Membercontrolsince 05/2009 · owns 50% to 75%
- Stephen Philip Goldfarb · Director Of Tradingcontrolsince 01/2016 · owns less than 5%
- Joseph John Mccombe · President, Director Of Distribution And Board Membercontrolsince 09/2010 · owns less than 5%
- Harris Michael Meyer · Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
- Raymond John Reagan · Chief Technology Officercontrolsince 02/2010 · owns less than 5%
- James Dan Suzuki · Deputy Chief Investment Officer & Chairman Of The Investment Committeecontrolsince 01/2020 · owns less than 5%
- Barbara Tarbel · Chief Financial Officer And Board Membercontrolsince 12/2013 · owns less than 5%
- Matthew Frank Griswold · Director Of Investments And Risk Managementsince 12/2016 · owns less than 5%
- Lisa Kirschner · Director Of Researchsince 12/2016 · owns less than 5%
Entity owners
- Im Square Holding 8 LLC · Memberdirect · owns 25% to 50%
- Eurazeo Se · Holding Companyindirect · owns 75% or more of Legendre Holding 36
- Im Square Partners Holding · Holding Companyindirect · owns 75% or more of Im Square Holding 8 LLC
- Im Square Sas · Parentindirect · owns 75% or more of Im Square Partners Holding
- Jc Decaux Holding Sas · Shareholderindirect · owns 25% to 50% of Eurazeo Se
- Legendre Holding 36 · Holding Companyindirect · owns 50% to 75% of Im Square Sas
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 17, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-07-27, no on the filing of 2026-08-17peers: asset managers, $100M to $500M (1,567)
- client mix shiftChange between filings · filing Apr 30, 2026private-client share of RAUM moved from 63.0% to 81.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: asset managers, $100M to $500M (1,567)
Data quality: the 2026-03-31 holdings report shows $3,447,615,881 across 227 positions while Form ADV reports RAUM of $180,796,911 (19.1x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Accounts · 10,965 to 2Jul 27, 2026 to Aug 17, 2026
- Advisory activities · 5 to 1Jul 27, 2026 to Aug 17, 2026
- Individual clients · 10948.0 to unsetJul 27, 2026 to Aug 17, 2026
- Pooled vehicle clients · 1 to 2Jul 27, 2026 to Aug 17, 2026
- Discretionary RAUM · $3.8B to $181MJul 27, 2026 to Aug 17, 2026
- Individual RAUM · 3053177734.0 to unsetJul 27, 2026 to Aug 17, 2026
- Pooled vehicle RAUM · $69.9M to $181MJul 27, 2026 to Aug 17, 2026
- RAUM · $3.8B to $181MJul 27, 2026 to Aug 17, 2026
- Wrap assets (manager) · 2857132959.0 to unsetJul 27, 2026 to Aug 17, 2026
- Wrap assets (sponsor) · 0.0 to unsetJul 27, 2026 to Aug 17, 2026
- Pooled vehicle clients · unset to 1.0Apr 30, 2026 to Jun 15, 2026
- Pooled vehicle RAUM · unset to 69921086.0Apr 30, 2026 to Jun 15, 2026
- Related adviser · false to trueApr 30, 2026 to Jun 15, 2026
- Related bank · false to trueApr 30, 2026 to Jun 15, 2026
- Related broker-dealer · false to trueApr 30, 2026 to Jun 15, 2026
- Accounts · 12,603 to 10,965Jan 22, 2026 to Mar 23, 2026
- Advisory employees · 8 to 7Jan 22, 2026 to Mar 23, 2026
- Advisory activities · 6 to 5Jan 22, 2026 to Mar 23, 2026
- BD registered reps · 10 to 11Jan 22, 2026 to Mar 23, 2026
- Charity clients · 1.0 to unsetJan 22, 2026 to Mar 23, 2026
- Individual clients · 12,581 to 10,948Jan 22, 2026 to Mar 23, 2026
- Employees · 30 to 28Jan 22, 2026 to Mar 23, 2026
- Discretionary RAUM · $5.0B to $3.8BJan 22, 2026 to Mar 23, 2026
- Individual RAUM · $3.1B to $3.1BJan 22, 2026 to Mar 23, 2026
- RAUM · $5.0B to $3.8BJan 22, 2026 to Mar 23, 2026
- Wrap assets (manager) · $2.9B to $2.9BJan 22, 2026 to Mar 23, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Sep 11, 2025
- Accounts · 14,709 to 12,603Sep 10, 2024 to Feb 28, 2025
- Advisory activities · 5 to 6Sep 10, 2024 to Feb 28, 2025
- BD registered reps · 14 to 10Sep 10, 2024 to Feb 28, 2025
- Individual clients · 14,686 to 12,581Sep 10, 2024 to Feb 28, 2025
- Employees · 35 to 30Sep 10, 2024 to Feb 28, 2025
- Discretionary RAUM · $5.2B to $5.0BSep 10, 2024 to Feb 28, 2025
- Individual RAUM · $3.5B to $3.1BSep 10, 2024 to Feb 28, 2025
- RAUM · $5.2B to $5.0BSep 10, 2024 to Feb 28, 2025
- Wrap assets (manager) · $3.2B to $2.9BSep 10, 2024 to Feb 28, 2025
- Accounts · 15,345 to 14,709Apr 30, 2023 to Feb 28, 2024
- BD registered reps · 16 to 14Apr 30, 2023 to Feb 28, 2024
- Individual clients · 15,321 to 14,686Apr 30, 2023 to Feb 28, 2024
- Employees · 36 to 35Apr 30, 2023 to Feb 28, 2024
Signals
5 dated events
- Richard Bernstein Advisors Llc reported RAUM $180.8M, down 95% from $3.8B (2026-07-27 to 2026-08-17)Aug 17, 2026 · RAUM change · derived
- Richard Bernstein Advisors Llc reported RAUM $6.1B, up 29% from $4.7B (2021-08-04 to 2022-02-28)Feb 28, 2022 · RAUM change · derived
- Richard Bernstein Advisors Llc reported RAUM $4.7B, up 27% from $3.7B (2020-06-10 to 2021-03-01)Mar 1, 2021 · RAUM change · derived
- James Dan Suzuki (Deputy Chief Investment Officer) appeared on Schedule A of Richard Bernstein Advisors LlcFeb 28, 2020 · Control person joined · fact
- Richard Bernstein Advisors Llc reported RAUM $3.2B, up 92% from $1.7B (2017-03-17 to 2018-02-28)Feb 28, 2018 · RAUM 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/1376322reportedpublic record, Form ADV, Sep 17, 2026
- Website
- RBADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-692-4000reportedpublic record, Form ADV, Aug 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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