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
Equitable Investment Management Group, LLC
Latest filing Mar 27, 2026
First filing on the tape Feb 1, 2012 · 36 filings
SEC status approved since Mar 24, 2011
RAUM
$167B
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
67
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$167B as of Mar 27, 2026
Mar 29, 2012$126B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)67 as of Mar 27, 2026
Apr 1, 201357 then
Private funds: no history
RAUM +2.8% over the last fiscal year+5.2% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 27, 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
- $1.5BderivedRAUM 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
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$167B100%
- Pooled investment vehicles$209M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 113reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=17.0derived
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
- Lynn Jessica Baehr · President And Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- Shane Daly · Executive Vice President, General Counsel, And Secretarycontrolsince 03/2023 · owns less than 5%
- Michael Steven Joenk · Director, Chairman Of The Board And Chief Executive Officercontrolsince 02/2011 · owns less than 5%
- Thomas Kenneth Kozlowski · Director, Executive Vice President And Chief Investment Officercontrolsince 05/2017 · owns less than 5%
- John Joseph Paolo · Senior Vice President And Chief Compliance Officercontrolsince 02/2011 · owns less than 5%
- E (Mi Only) Brian Walsh · Director And Senior Vice Presidentcontrolsince 02/2011 · owns less than 5%
Entity owners
- Equitable Financial Life Insurance Company · Memberdirect · owns 75% or more · public reporting company
- Equitable Financial Services, LLC · Shareholderindirect · owns 75% or more of Equitable Financial Life Insurance Company
- Equitable Holdings, Inc. · Shareholderindirect · owns 75% or more of Equitable Financial Services, LLC · public reporting company
Related persons
Schedule D 7.A
- Ab Broadly Syndicated Loan Manager LLCinvestment advisernRAUM $2.6B
- Ab Carval Investors, LPinvestment advisernRAUM $18B
- Ab Custom Alternative Solutions LLCinvestment adviserbanknRAUM $1.4B
- Ab Private Credit Investors LLCinvestment advisernRAUM $11B
- Alliancebernstein Corporationinvestment advisern
- Alliancebernstein Holding L.P.investment advisern
- Alliancebernstein Investments, Inc.broker-dealerreal estaten
- Alliancebernstein L.P.investment adviserbankpooled vehicle sponsornRAUM $763B
- Alliancebernstein Trust Company, LLCn
- Bernstein Institutional Services LLCbroker-dealerinvestment advisern
- Equitable Advisors, LLCbroker-dealerinvestment advisernRAUM $42B
- Equitable Distributors, LLCbroker-dealerreal estaten
- Equitable Financial Investment Management, LLCinvestment advisern
- Equitable Financial Life Insurance Companyreal estatey
- Equitable Financial Life Insurance Company Of Americareal estaten
- Equitable Investment Management, LLCinvestment advisernRAUM $1.5B
- Planmember Asset Management Corporationinvestment advisern
- Planmember Securities Corporationbroker-dealerinvestment adviserreal estatenRAUM $10B
- Sanford C. Bernstein & Co., LLCbroker-dealerinvestment adviserbanktrust companynRAUM $1.2B
- W.P. Stewart Asset Management Ltd.investment advisernRAUM $266M
Advisers that list Equitable Investment Management Group, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 14 to 17Jan 5, 2026 to Mar 27, 2026
- Employees · 69 to 67Jan 5, 2026 to Mar 27, 2026
- Insurance-licensed employees · 1 to 0Jan 5, 2026 to Mar 27, 2026
- State-registered IARs · 1 to 0Jan 5, 2026 to Mar 27, 2026
- Discretionary RAUM · $163B to $167BJan 5, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $226M to $209MJan 5, 2026 to Mar 27, 2026
- RAUM · $163B to $167BJan 5, 2026 to Mar 27, 2026
- BD registered reps · 15 to 14Mar 28, 2024 to Mar 28, 2025
- Employees · 63 to 69Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $157B to $163BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $230M to $226MMar 28, 2024 to Mar 28, 2025
- RAUM · $157B to $163BMar 28, 2024 to Mar 28, 2025
- Accounts · 112 to 113Dec 12, 2023 to Mar 28, 2024
- Advisory employees · 10 to 11Dec 12, 2023 to Mar 28, 2024
- BD registered reps · 13 to 15Dec 12, 2023 to Mar 28, 2024
- Employees · 62 to 63Dec 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $144B to $157BDec 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $223M to $230MDec 12, 2023 to Mar 28, 2024
- RAUM · $144B to $157BDec 12, 2023 to Mar 28, 2024
- Accounts · 133 to 112Oct 21, 2022 to Mar 30, 2023
- Advisory employees · 12 to 10Oct 21, 2022 to Mar 30, 2023
- BD registered reps · 17 to 13Oct 21, 2022 to Mar 30, 2023
- Employees · 70 to 62Oct 21, 2022 to Mar 30, 2023
- Insurance-licensed employees · 0 to 1Oct 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $186B to $144BOct 21, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $378M to $223MOct 21, 2022 to Mar 30, 2023
- RAUM · $186B to $144BOct 21, 2022 to Mar 30, 2023
- Accounts · 132 to 133Aug 2, 2021 to Mar 29, 2022
- BD registered reps · 20 to 17Aug 2, 2021 to Mar 29, 2022
- State-registered IARs · 2 to 1Aug 2, 2021 to Mar 29, 2022
- Discretionary RAUM · $174B to $186BAug 2, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $385M to $378MAug 2, 2021 to Mar 29, 2022
- RAUM · $174B to $186BAug 2, 2021 to Mar 29, 2022
- Accounts · 148 to 132Jun 30, 2020 to Mar 29, 2021
- BD registered reps · 19 to 20Jun 30, 2020 to Mar 29, 2021
- Insurance-licensed employees · 1 to 0Jun 30, 2020 to Mar 29, 2021
- Financial planning clients · 0 to unsetJun 30, 2020 to Mar 29, 2021
- State-registered IARs · 3 to 2Jun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $164B to $174BJun 30, 2020 to Mar 29, 2021
Signals
6 dated events
- Lynn Jessica Baehr (President And Chief Operating Officer) appeared on Schedule A of Equitable Investment Management Group, LlcMar 28, 2024 · Control person joined · fact
- 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)Aug 14, 2023 · Control person left · inference
- Shane Daly (Executive Vice President, General Counsel, And Secretary) appeared on Schedule A of Equitable Investment Management Group, LlcMar 30, 2023 · Control person joined · fact
- 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)Oct 21, 2022 · Control person left · inference
- T William Macgregor (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Equitable Investment Management Group, LlcMar 29, 2019 · Control person joined · fact
- (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)Mar 29, 2019 · Control person left · inference
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
- Website
- EQUITABLE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-314-5051reportedpublic record, Form ADV, Mar 27, 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