SourcingSourcing

RICHARD BERNSTEIN ADVISORS LLC

C41
CRD 153577·SEC 801-71501·NEW YORK, NY
AUM
$3.79B
$1B+
Est. Revenue
$37.9M
@ 1% on AUM
Est. EBITDA
$11.4M
@ 30% margin
Est. Deal Value
$90.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RICHARD BERNSTEIN ADVISORS LLC
CRD
153577
SEC file #
801-71501
EIN
843490759
DBA names
—

Economics

AUM
$3.79B
AUM band
$1B+
AUM trajectory
'20'26
$3.54B → $3.79B▲ +7%
Client mix
Individuals Other10,948
Investment Companies1
Sovereign Wealth Funds1

Operations

Employees (total)
28
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
8 advisors → 7 advisors▼ -12%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Morgan Stanleylow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businessesPublication of periodicals
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
04/30/2026
ADV-W filed at
—
Website
twitter.com/rbadvisors(social)

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
JANUS HENDERSON US ( HOLDINGS)
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
JANUS HENDERSON US ( HOLDINGS)
IM SQUARE HOLDING 7 LLC
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:richardbernstein.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001801263
Edgar Registered
Yes
Edgar Filing Count
28
Edgar First Filing Date
2020-02-13
Edgar Last Filing Date
2026-04-22
Edgar 13f Count
26
Edgar 13f Latest AUM Estimate
Filing Date2026-04-22
Accession0001801263-26-000003

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Morgan Stanley5
E*trade4
Pershing2
Lpl Financial2
Bny Mellon2
Edgar Addresses
Mailing
11980 NE 24TH STREETSUITE 210BELLEVUE, WA 98005
Business
11980 NE 24TH STREETSUITE 210BELLEVUE, WA 98005
Edgar EIN
843490759
Edgar Recent Filings
13F-HR2026-04-22 · 0001801263-26-000003
13F-HR2026-01-26 · 0001801263-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (8)

8
CRAWFORD, BERG, ASHTON
Executive Officer · 2.5%
7933828
FALCONER, PETER, JOHN
Executive Officer · 2.5%
7218508
LACY, KARLENE, J
Executive Officer · 2.5%
5073113
Michael Harris Meyer
Executive Officer · 2.5%
2961386
ROSENBERG, MICHELLE, ROSE
Executive Officer · 2.5%
4735608
STEVEN RICHARD SABA
Executive Officer · 2.5%
5847576
Schweitzer, Michael, Alan
Executive Officer · 2.5%
1940642
Gregory R Trinks
Executive Officer · 2.5%
3063925