Asset manager · New York, NY
Equitable Investment Management, LLC
SEC-registered investment adviser · CRD 322513 · SEC 801-126365
At a glance
Equitable Investment Management, LLC is an SEC-registered investment adviser based in New York, New York, with $1.5 billion in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 1,155th of 3,218 asset managers and 4,214th of 17,210 SEC-registered advisers by assets.
Main office 212-314-5051equitable.comAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among asset managers
- #1,155 of 3,218
- Rank among all SEC RIAs
- #4,214 of 17,210
- Rank in New York
- #973 of 2,591
- Clients
- 1
- Accounts
- 8
- Discretionary
- 100% of AUM
- Employees
- 67
- Advisory staff
- 11
- Offices
- 1
Owners and executives on its Form ADV
- Steven M. JoenkDirector, Chairman of the Board, and Chief Executive Officer
- Joseph J. PaoloSenior Vice President and Chief Compliance Officer
- Brian E. WalshDirector and Senior Vice President
- Kenneth T. KozlowskiDirector, Executive Vice President and Chief Investment Officer
- Shane DalyExecutive Vice President, General Counsel, and Secretary
- Jessica L. BaehrDirector and President
- Andrew C. HoustonSenior Vice President and Chief Operating Officer
Custody and brokerage
Custodian
Equitable Investment Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Equitable Investment Management, LLC is a hybrid RIA: 17 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Alliancebernstein Investments, Inc., Bernstein Institutional Services LLC, Equitable Advisors, LLC, Equitable Distributors, LLC, Planmember Securities Corporation, Sanford C. Bernstein & Co., LLC and Stifel Independent Advisors, LLC.
- Alliancebernstein Investments, Inc. ↗CRD 14549
- Bernstein Institutional Services LLC ↗CRD 317807
- Equitable Advisors, LLC ↗CRD 6627
- Equitable Distributors, LLC ↗CRD 25900
- Planmember Securities Corporation ↗CRD 11869
- Sanford C. Bernstein & Co., LLC ↗CRD 104474
- Stifel Independent Advisors, LLC ↗CRD 28218
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $1.5B | 100% |
Disciplinary disclosures
Equitable Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗equitable.com ↗
AtlasMembers
The full record on Equitable Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 947 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Equitable Investment Management, LLC manage?
Equitable Investment Management, LLC reports $1.5 billion in regulatory assets under management across 8 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Equitable Investment Management, LLC?
Equitable Investment Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are Equitable Investment Management, LLC’s clients?
By assets, its largest client types are investment companies ($1.5 billion, 1 clients).
Does Equitable Investment Management, LLC have any disciplinary history?
Equitable Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Equitable Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →