{ "crd_number": 107445, "slug": "alliancebernstein-corporation-new-york-ny-107445", "primary_business_name": "ALLIANCEBERNSTEIN CORPORATION", "legal_name": "ALLIANCEBERNSTEIN CORPORATION", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1991-11-04", "years_registered": 34, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 0, "advisory_employees": 0, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "other" ], "advisory_activities": [ "other" ], "wrap_fee_participant": false, "disclosure_yes_count": 7, "states_registered": [ "TN" ], "websites": [ "https://alliancebernstein.bsky.social", "https://alliancebernstein.com", "https://asturiascapitalllc.com", "https://bernstein.com", "https://blog.naver.com/abinsights", "https://facebook.com/ABInsights", "https://facebook.com/BERNSTEINPRIVATEWEALTHMANAGEMENT", "https://facebook.com/abfunds", "https://instagram.com/ALLIANCEBERNSTEIN", "https://instagram.com/abfunds.tw", "https://instagram.com/alliancebernstein?hl=en", "https://instagram.com/bernsteinpwm", "https://ja-jp.facebook.com/happy.r.project", "https://line.me/R/ti/p/%40gpt0697p Messaging APP: need scan QR code", "https://linkedin.com/company/ab-carval", "https://linkedin.com/company/abglobal", "https://linkedin.com/company/bernstein-private-wealth-management", "https://twitter.com/BERNSTEINPWM", "https://twitter.com/ab_insights", "https://twitter.com/ab_insights_uk?lang=en", "https://youtube.com/abfunds", "https://youtube.com/c/BernsteinPWM", "https://youtube.com/channel/UCV4KgmgeGQc3GW4YKZhvj-A", "https://youtube.com/channel/UCjzcOPQDzrXhxM6OBiJ44ZQ", "https://youtube.com/user/AllianceBernsteinLP" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107445", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/alliancebernstein-corporation-new-york-ny-107445", "display_name": "Alliancebernstein Corporation", "summary": "Alliancebernstein Corporation is an SEC-registered investment advisory firm in New York, NY, registered since 1991, with no regulatory assets under management reported in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Alliancebernstein Corporation (CRD 107445): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Other" ], "advisory_activity_labels": [ "Other" ], "quick_answers": [ { "q": "How is Alliancebernstein Corporation compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alliancebernstein Corporation reports these compensation arrangements: other." }, { "q": "Where is Alliancebernstein Corporation located?", "a": "Alliancebernstein Corporation's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Alliancebernstein Corporation registered with the SEC or a state?", "a": "Alliancebernstein Corporation is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 107445." }, { "q": "How have Alliancebernstein Corporation's assets and staff changed since 2021?", "a": "In the Form ADV data for Alliancebernstein Corporation: Total employees: 0 in October 2021 and 0 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does Alliancebernstein Corporation report any disciplinary disclosures?", "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.D(5), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107445" }, { "q": "What changed in Alliancebernstein Corporation's recent Form ADV filings?", "a": "In the April 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2021-07-20" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2022-09-12" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2023-08-23" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2024-08-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2025-06-17" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 0, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/alliancebernstein-corporation-new-york-ny-107445.md", "clients": [], "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107445", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }