{"url":"https://nivawealth.com/firms/equitable-investment-management-group-156933","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/156933","regulatoryAum":167153305419,"crd":"156933","secFileNumber":"801-72220","legalName":"Equitable Investment Management Group, LLC","displayName":"Equitable Investment Management Group","website":"https://equitable.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1345  Avenue of the Americas","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10105"},"tradeNames":[],"registration":{"secApproved":"24 March 2011","noticeFilings":2,"latestNoticeFiling":"5 January 2026","inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[{"status":"Notice Filed","jurisdiction":"New York","effectiveDate":"2026-01-05"},{"status":"Notice Filed","jurisdiction":"South Carolina","effectiveDate":"2020-06-16"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2011-03-24"}]}},"staff":{"employees":67,"advisory":11,"brokerDealerReps":17,"insuranceAgents":5,"promoters":0},"aum":{"discretionary":167153305419,"discretionaryAccounts":113,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":3,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":166944182033},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":209123386}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Equitable Investment Management Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Steven Joenk","title":"Director, Chairman of the Board and Chief Executive Officer","crd":"1556526"},{"name":"Jessica Baehr","title":"Director and President","crd":"7373859"},{"name":"Shane Daly","title":"Executive Vice President, General Counsel, and Secretary","crd":"7716807"},{"name":"Andrew Houston","title":"Senior Vice President and Chief Operating Officer","crd":"6085110"},{"name":"Kenneth Kozlowski","title":"Director, Executive Vice President and Chief Investment Officer","crd":"2121988"},{"name":"Joseph Paolo","title":"Senior Vice President and Chief Compliance Officer","crd":"4939209"},{"name":"Brian Walsh","title":"Director and Senior Vice President","crd":"2320523"}],"ownership":[{"label":"Equitable Financial Life Insurance Company","detail":"Member in the 75% or more ownership band and a control person, since February 2011."},{"label":"Equitable Financial Services, LLC","detail":"Indirect owner: a shareholder of Equitable Financial Life Insurance Company in the 75% or more band and a control person, since June 2002.","parent":"Equitable Financial Life Insurance Company"},{"label":"Equitable Holdings, Inc.","detail":"Indirect owner: a shareholder of Equitable Financial Services, LLC in the 75% or more band and a control person, since October 2018.","parent":"Equitable Financial Services, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"1345  Avenue of the Americas","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-314-5051","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/156933/PDF/156933.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Equitable Investment Management Group have?","answer":"Equitable Investment Management Group has 3 clients and manages $167.2 billion for them, as of March 2026. They include 2 pooled investment vehicles and 1 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Equitable Investment Management Group offer?","answer":"Equitable Investment Management Group provides portfolio management for investment companies, portfolio management for pooled vehicles, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Equitable Investment Management Group have?","answer":"Equitable Investment Management Group has 0 investment adviser representatives registered with state securities authorities, out of 67 employees, and 11 perform investment advisory functions. 17 are registered representatives of a broker-dealer and 5 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Equitable Investment Management Group?","answer":"Equitable Investment Management Group is owned through a chain of holding companies by Equitable Holdings, Inc. Its direct owner is Equitable Financial Life Insurance Company (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Equitable Investment Management Group get paid?","answer":"Equitable Investment Management Group is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}