{ "crd_number": 156933, "slug": "equitable-investment-management-group-llc-new-york-ny-156933", "primary_business_name": "EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC", "legal_name": "EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC", "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": "2011-03-24", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 167153305419.0, "raum_discretionary": 167153305419.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 67, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 166944182033.0, "count": 1 }, "pooled_investment_vehicles": { "raum": 209123386.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "other", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 5, "states_registered": [ "NY", "SC" ], "websites": [ "https://equitable-funds.com", "https://equitable.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/156933", "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?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/equitable-investment-management-group-llc-new-york-ny-156933", "display_name": "Equitable Investment Management Group, LLC", "summary": "Equitable Investment Management Group, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Equitable Investment Management Group, LLC (CRD 156933): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Equitable Investment Management Group, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Equitable Investment Management Group, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Equitable Investment Management Group, LLC located?", "a": "Equitable Investment Management Group, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Equitable Investment Management Group, LLC registered with the SEC or a state?", "a": "Equitable Investment Management Group, LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156933." }, { "q": "How much does Equitable Investment Management Group, LLC manage?", "a": "Equitable Investment Management Group, LLC reports $167,153,305,419 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)." }, { "q": "How have Equitable Investment Management Group, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Equitable Investment Management Group, LLC: Regulatory assets under management: $174,367,902,660 in the October 2021 data and $167,153,305,419 in the October 2026 data, down 4%. Total employees: 70 in October 2021 and 67 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Equitable Investment Management Group, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2); investment companies (1)." }, { "q": "Does Equitable Investment Management Group, LLC report any disciplinary disclosures?", "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). 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/156933" }, { "q": "What changed in Equitable Investment Management Group, LLC'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": 174367902660.0, "total_employees": 70, "filing_date": "2021-08-02" }, { "period": "2022-10-01", "regulatory_assets_under_management": 186437153088.0, "total_employees": 70, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 143549380883.0, "total_employees": 62, "filing_date": "2023-08-14" }, { "period": "2024-10-01", "regulatory_assets_under_management": 156506909126.0, "total_employees": 63, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 162571777386.0, "total_employees": 69, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 167153305419.0, "total_employees": 67, "filing_date": "2026-03-27" } ], "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/equitable-investment-management-group-llc-new-york-ny-156933.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 166944182033.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 209123386.0 } ], "disclosure_line": "Reports 5 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/156933", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }