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

Bernstein Institutional Services LLC

No RAUM reportedNew York, New YorkCRD 317807SEC 801-129468websiteIAPD
Latest filing May 4, 2026
First filing on the tape Jan 5, 2024 · 14 filings
SEC status approved since Feb 2, 2024
RAUM
$0
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
282
92 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of May 4, 2026
Jan 28, 2025$0 then
HNW client RAUM$0 as of May 4, 2026
Apr 21, 2025$0 then
State-registered IARs (5.B.3)0 as of May 4, 2026
Jan 28, 20250 then
Employees (5.A)282 as of May 4, 2026
Jan 28, 2025294 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
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
unknownderived9 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
fixed fees, subscriptionreportedItem 5.E
Advisory activities
publications, educational seminarsreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=223.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Laurence Hugh Bertan · Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • Thomas Heath · Principal Operations Officercontrol
        since 09/2024 · owns less than 5%
      • Stephen N Keyes-Grevelis · Head Of Salescontrol
        since 04/2023 · owns less than 5%
      • David Allen Liles · Head Of Tradingcontrol
        since 04/2023 · owns less than 5%
      • Colin A Mcgranahan · Head Of Researchcontrol
        since 04/2023 · owns less than 5%
      • Kiho Rhee · Chief Financial Officer / Finopcontrol
        since 07/2024 · owns less than 5%
      • Robert Pieter Van Brugge · Chief Executive Officercontrol
        since 10/2021 · owns less than 5%
      Entity owners
      • Bernstein North America Holdings LLC · Sole LLC Member
        direct · owns 75% or more
      • Alliance Capital Management LLC · Sole LLC Member
        indirect · owns 75% or more of Scb Global Holdings LLC
      • Alliancebernstein Holding L.P. · Member
        indirect · owns 25% to 50% of Alliancebernstein, L.P. · public reporting company
      • Alliancebernstein L.P. · Sole Member
        indirect · owns 75% or more of Alliance Capital Management LLC
      • Equitable Holdings Inc. · Member
        indirect · owns 50% to 75% of Alliancebernstein, L.P. · public reporting company
      • Scb Global Holdings LLC · Member
        indirect · owns 50% to 75% of Bernstein North America Holdings LLC
      Related persons
      Schedule D 7.A
      Advisers that list Bernstein Institutional Services LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 90 to 92
        Feb 4, 2026 to Mar 31, 2026
      • BD registered reps · 227 to 223
        Feb 4, 2026 to Mar 31, 2026
      • Advisory employees · 85 to 90
        Jan 28, 2025 to Apr 21, 2025
      • Employees · 294 to 282
        Jan 28, 2025 to Apr 21, 2025
      • Financial planning clients · 0 to 0
        Jan 28, 2025 to Apr 21, 2025
      • HNW RAUM · unset to 0.0
        Jan 28, 2025 to Apr 21, 2025
      • Individual RAUM · unset to 0.0
        Jan 28, 2025 to Apr 21, 2025
      • Pension RAUM · unset to 0.0
        Jan 28, 2025 to Apr 21, 2025
      • Pooled vehicle RAUM · unset to 0.0
        Jan 28, 2025 to Apr 21, 2025
      • Accounts · unset to 0.0
        Oct 17, 2024 to Jan 28, 2025
      • Discretionary RAUM · unset to 0.0
        Oct 17, 2024 to Jan 28, 2025
      • Non-discretionary RAUM · unset to 0.0
        Oct 17, 2024 to Jan 28, 2025
      • RAUM · unset to 0.0
        Oct 17, 2024 to Jan 28, 2025
      • BD registered reps · 208 to 227
        Oct 17, 2024 to Oct 17, 2024
      Signals
      4 dated events
      • Thomas William O'Keefe (Chief Financial Officer; Principal Financial Officer; Finop) no longer on Schedule A of Bernstein Institutional Services Llc (listed 2024-08-13, absent 2024-10-08)
        Oct 8, 2024 · Control person left · inference
      • Kiho Rhee (Chief Financial Officer / Finop) appeared on Schedule A of Bernstein Institutional Services Llc
        Oct 8, 2024 · Control person joined · fact
      • Thomas Heath (Principal Operations Officer) appeared on Schedule A of Bernstein Institutional Services Llc
        Oct 8, 2024 · Control person joined · fact
      • Bernstein Institutional Services Llc filed its initial SEC registration (Form ADV)
        Jan 5, 2024 · First SEC registration · fact
      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
      bernsteinsg.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      9173448600reportedpublic record, Form ADV, May 4, 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
      No RAUM reportedderiveda 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