{ "crd_number": 108477, "slug": "alliancebernstein-l-p-nashville-tn-108477", "primary_business_name": "ALLIANCEBERNSTEIN L.P.", "legal_name": "ALLIANCEBERNSTEIN L.P.", "dbas": [], "city": "Nashville", "state": "TN", "country": "United States", "cbsa_code": "34980", "metro": { "cbsa_code": "34980", "common_name": "Nashville", "msa_name": "Nashville-Davidson--Murfreesboro--Franklin, TN", "path": "/advisors/tn/nashville" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1999-08-13", "years_registered": 27, "period": "2026-10-01", "filing_date": "2026-07-07", "carried_forward": false, "raum_total": 763401000000.0, "raum_discretionary": 750281000000.0, "raum_non_discretionary": 13120000000.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 4204, "advisory_employees": 1616, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 5886000000.0, "count": 2289 }, "individuals": { "raum": 0.0, "count": 0 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 56312000000.0, "count": 49 }, "insurance_companies": { "raum": 114322000000.0, "count": 35 }, "investment_companies": { "raum": 208189000000.0, "count": 158 }, "pension_profit_sharing": { "raum": 13226000000.0, "count": 539 }, "other_investment_advisers": { "raum": 44571000000.0, "count": 59 }, "high_net_worth_individuals": { "raum": 77345000000.0, "count": 25513 }, "pooled_investment_vehicles": { "raum": 215323000000.0, "count": 412 }, "corporations_other_businesses": { "raum": 12827000000.0, "count": 1219 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 15400000000.0, "count": 12 } }, "compensation_types": [ "commissions", "fixed", "percentage_of_aum", "performance_based", "subscription" ], "advisory_activities": [ "financial_planning", "other", "periodicals_newsletters", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 7, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV" ], "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/108477", "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": "NASHVILLE", "url": "https://advisorcensus.com/firm/alliancebernstein-l-p-nashville-tn-108477", "display_name": "Alliancebernstein L.P.", "summary": "Alliancebernstein L.P. is an SEC-registered investment advisory firm in Nashville, TN, registered since 1999, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 7, 2026.", "citation": "AdvisorCensus. Alliancebernstein L.P. (CRD 108477): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Subscription fees (for a newsletter or periodical)", "Fixed fees (other than subscription fees)", "Commissions", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)", "Publication of periodicals or newsletters", "Other" ], "quick_answers": [ { "q": "How is Alliancebernstein L.P. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alliancebernstein L.P. reports these compensation arrangements: a percentage of assets under its management; subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees); commissions; performance-based fees." }, { "q": "Where is Alliancebernstein L.P. located?", "a": "Alliancebernstein L.P.'s principal office is in Nashville, TN, according to its Form ADV; the August 2026 filing also lists 25 other offices (Schedule D, Section 1.F)." }, { "q": "Is Alliancebernstein L.P. registered with the SEC or a state?", "a": "Alliancebernstein L.P. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 108477." }, { "q": "How much does Alliancebernstein L.P. manage?", "a": "Alliancebernstein L.P. reports $763,401,000,000 in regulatory assets under management in its Form ADV filing dated July 7, 2026 (98% discretionary)." }, { "q": "How have Alliancebernstein L.P.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Alliancebernstein L.P.: Regulatory assets under management: $639,752,000,000 in the October 2021 data and $763,401,000,000 in the October 2026 data, up 19%. Total employees: 3,740 in October 2021 and 4,204 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Alliancebernstein L.P. serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (25,513); charitable organizations (2,289); corporations or other businesses not listed above (1,219)." }, { "q": "Which custodians does Alliancebernstein L.P. use?", "a": "Alliancebernstein L.P.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists JP Morgan Chase and Sanford C. Bernstein & Co., LLC (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Alliancebernstein L.P. 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/108477" }, { "q": "What changed in Alliancebernstein L.P.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 871 to 1616. Changed its office addresses in London. Changed its office addresses in Pune. Changed its office addresses in Seattle, WA. Added an office in Austin, TX. Added an office in Shanghai. Added an office in Taipei. No longer lists an office in Luxembourg. No longer lists an office in Nashville, TN. No longer lists an office in Pittsburgh, PA. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 639752000000.0, "total_employees": 3740, "filing_date": "2021-07-06" }, { "period": "2022-10-01", "regulatory_assets_under_management": 721781000000.0, "total_employees": 4004, "filing_date": "2022-08-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 582388000000.0, "total_employees": 4134, "filing_date": "2023-09-15" }, { "period": "2024-10-01", "regulatory_assets_under_management": 651482000000.0, "total_employees": 4565, "filing_date": "2024-08-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": 709162000000.0, "total_employees": 3994, "filing_date": "2025-06-16" }, { "period": "2026-10-01", "regulatory_assets_under_management": 763401000000.0, "total_employees": 4204, "filing_date": "2026-07-07" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 871 to 1616.", "Changed its office addresses in London.", "Changed its office addresses in Pune.", "Changed its office addresses in Seattle, WA.", "Added an office in Austin, TX.", "Added an office in Shanghai.", "Added an office in Taipei.", "No longer lists an office in Luxembourg.", "No longer lists an office in Nashville, TN.", "No longer lists an office in Pittsburgh, PA.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "JP Morgan Chase", "name_as_filed": "JP MORGAN CHASE", "affiliated": false }, { "name": "Sanford C. Bernstein & Co., LLC", "name_as_filed": "SANFORD C. BERNSTEIN & CO., LLC", "affiliated": true } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/alliancebernstein-l-p-nashville-tn-108477.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 25513, "fewer_than_5": false, "raum": 77345000000.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 158, "fewer_than_5": false, "raum": 208189000000.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 412, "fewer_than_5": false, "raum": 215323000000.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 539, "fewer_than_5": false, "raum": 13226000000.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 2289, "fewer_than_5": false, "raum": 5886000000.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 49, "fewer_than_5": false, "raum": 56312000000.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 59, "fewer_than_5": false, "raum": 44571000000.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 35, "fewer_than_5": false, "raum": 114322000000.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 12, "fewer_than_5": false, "raum": 15400000000.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1219, "fewer_than_5": false, "raum": 12827000000.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "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/108477", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }