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RICHARD BERNSTEIN ADVISORS LLC

NEW YORK, NY · CRD 153577 · IAPD ↗ · rbadvisors.com · 212-692-4000

$180.8MRegulatory AUM
7Advisory reps
28Employees
17Clients
0Planning clients
0Private funds
1States
3Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

35
September 2026 — RICHARD BERNSTEIN ADVISORS LLC reported RAUM down 95% ($3.79B -> $180.8M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
55
May 2026 — RICHARD BERNSTEIN ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (2 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — RICHARD BERNSTEIN ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.