EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 156933). Regulatory assets under management: $167.2B.
Compensation: % of AUM.
Clients served: Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Steven Michael Joenk | DIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | — |
| Joseph John Paolo | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Brian E Mi Only Walsh | DIRECTOR AND SENIOR VICE PRESIDENT | — |
| Kenneth Thomas Kozlowski | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| Shane Daly | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | — |
| Jessica Lynn Baehr | DIRECTOR AND PRESIDENT; PRESIDENT AND CHIEF OPERATING OFFICER | — |
| WALSH JOHN E | DIRECTOR | — |
| KOZLOWSKI KENNETH THOMAS | DIRECTOR; DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| JOENK STEVEN MICHAEL | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER AND PRESIDENT; CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR, CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER (+1 more) | — |
| CANTWELL MARY ELIZABETH | DIRECTOR | — |
| PAOLO JOSEPH JOHN | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| LOUIE PATRICIA | SENIOR VICE PRESIDENT AND CORPORATE COUNSEL | — |
| LOUIE PATRICIA NMN | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL; SENIOR VICE PRESIDENT AND CORPORATE COUNSEL | — |
| FENICHEL ALVIN HENRY | SENIOR VICE PRESIDENT AND CHIEF ACCOUNTING OFFICER | — |
| WALSH BRIAN E MI ONLY | DIRECTOR; DIRECTOR AND SENIOR VICE PRESIDENT | — |
| LEVY MICHAL | DIRECTOR | — |
| MACGREGOR WILLIAM T | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | — |
| Lopatin MICHAL Levy | DIRECTOR, PRESIDENT AND CHIEF OPERATING OFFICER; DIRECTOR, SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | — |
| BAEHR JESSICA LYNN | PRESIDENT AND CHIEF OPERATING OFFICER | — |
| Daly Shane | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | — |
| Brian E (Mi Only) Walsh | DIRECTOR AND SENIOR VICE PRESIDENT | — |
| Andrew Christopher Houston | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-07-18 | regulatory | THE SEC ALLEGED THAT SINCE AT LEAST 2016, EQUITABLE FINANCIAL LIFE INSURANCE COMPANY ("EQUITABLE") PROVIDED QUARTERLY ACCOUNT STATEMENTS THAT INCLUDED MISLEADING STATEMENTS AND OMISSIONS CONCERNING FEES PAID IN CONNECTION WITH ITS EQUI-VEST VARIABLE ANNUITY PRODUCT, WHICH WAS SOLD PREDOMINANTLY IN T… | Final | $50.0M |
| 2018-10-01 | regulatory | THE DELAWARE DEPARTMENT OF INSURANCE CONDUCTED A MARKET CONDUCT EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY AND ALLEGED THAT THE COMPANY VIOLATED CERTAIN PROVISIONS OF THE INSURANCE LAW AND/OR DEPARTMENT REGULATIONS IN CONNECTION WITH ANNUITY REPLACEMENTS. | Final | $5K |
| 2017-08-24 | regulatory | THE SOUTH DAKOTA DEPARTMENT OF LABOR AND REGULATION, DIVISION OF INSURANCE ("SDDOI") INVESTIGATED AXA EQUITABLE LIFE INSURANCE COMPANY AND U.S. FINANCIAL LIFE INSURANCE COMPANY (TOGETHER, THE "COMPANIES") AND ALLEGED THAT THE COMPANIES VIOLATED CERTAIN PROVISIONS OF THE INSURANCE LAW AND/OR DEPARTME… | Final | $500 |
| 2017-05-08 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("NYDFS") CONDUCTED A STANDARD QUINQUENNIAL EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY FOR THE PERIOD JANUARY 1, 2011 THROUGH DECEMBER 31, 2015. THE NYDFS ALLEGED THAT AXA EQUITABLE LIFE INSURANCE COMPANY VIOLATED CERTAIN PROVISIONS OF THE… | Final | $3.8M |
| 2014-10-17 | regulatory | THE MARYLAND INSURANCE COMMISSIONER CONDUCTED A MARKET CONDUCT EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY COVERING THE TIME PERIOD FROM DECEMBER 1, 2011, THROUGH NOVEMBER 30, 2012. THE STATE ALLEGED THAT DURING THE EXAMINATION, AXA EQUITABLE LIFE INSURANCE COMPANY FAILED TO MAINTAIN SUFFICI… | Final | $5K |
| 2014-07-07 | regulatory | THE STATE OF KANSAS INSURANCE DEPARTMENT CONDUCTED A TARGET MARKET CONDUCT EXAMINATION COVERING COMPLAINT HANDLING PRACTICES OF AXA EQUITABLE LIFE INSURANCE COMPANY COVERING THE TIME PERIOD FROM JANUARY 1, 2010 THROUGH DECEMBER 31, 2012. THE STATE ALLEGED THAT DURING THE EXAMINATION, AXA EQUITABLE L… | Final | $1K |
| 2014-05-22 | regulatory | THE STATE OF ILLINOIS INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY COVERING THE TIME PERIOD FROM JULY 1, 2011 THROUGH JUNE 30, 2012. THE STATE ALLEGED THAT DURING THE EXAMINATION, AXA EQUITABLE LIFE INSURANCE COMPANY FAILED TO MAINTAIN SUFFICIEN… | Final | $7K |
| 2012-11-16 | regulatory | THE COMMONWEALTH OF PENNSYLVANIA INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION OF AXA EQUITABLE LIFE INSURANCE COMPANY COVERING THE TIME PERIOD FROM JANUARY 1, 2010 THROUGH DECEMBER 31, 2011. THE COMMONWEALTH ALLEGED THAT AXA EQUITABLE LIFE INSURANCE COMPANY FAILED TO MAINTAIN SUFFICIE… | Final | $60K |
| 2011-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES CONDUCTED A STANDARD QUINQUENNIAL EXAMINATION OF THE MARKET CONDUCT ACTIVITIES OF AXA EQUITABLE LIFE INSURANCE COMPANY FOR THE PERIOD JANUARY 1, 2006 THROUGH DECEMBER 31, 2010. THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ALLEGED THAT AXA EQ… | Final | $300K |