AXA INVESTMENT MANAGERS US INC
Adviser information for AXA INVESTMENT MANAGERS US INC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 182 |
|---|---|
| Investment Advisory/Research | 116 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 241 | $74.3B |
| Non-Discretionary | 12 | $15.9B |
| Total | 253 | $90.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $22.7M |
| Investment companies | 2 | $806.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 28 | $21.4B |
| Pension and profit sharing plans | <5 | $439.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 6 | $41.9B |
| Insurance companies | 6 | $23.3B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $2.2B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 83 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)INVESTMENT OF HOLDING COMPANY ASSETS; MODEL PORTFOLIOS |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesREAL ESTATE RELATED FEES |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisorReal estate broker, dealer, or agent |
Identifiers
| SEC RIA File Number | 801-60374 |
|---|---|
| SEC ERA File Number | 801-60374 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113608 |
| Legal Entity Identifier | F0MIWIFRU0RT2UJ3VE57 |
Principal Office
400 ATLANTIC STREETSUITE 1000
STAMFORD
CT
United States
Monday - Friday, 9.00AM TO 5.00PM
Tel: 203-983-4200, Fax: 203-983-4247
Chief Compliance Officer
MICHEL DECOUX
4 ORINDA WAY
BUILDING C
ORINDA
CA
United States
Tel:
9252533304
M************@*********M
(Full email address available in API data)
Regulatory Contact
FLORIAN BEZAULT
HEAD OF AXA IM AMERICAS
400 ATLANTIC STREET
SUITE 1000
STAMFORD
CT
United States
Tel:
2039834215
F**************@*********M
(Full email address available in API data)
Industry Affiliates
| ARCHITAS FRANCE SA | Other investment adviser, including financial planners |
| ARCHITAS MULTI-MANAGER EUROPE LIMITED | Other investment adviser, including financial planners |
| AXA COLPATRIA SEGUROS, S.A. | Insurance company or agency |
| AXA IM PRIME | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGEMENT MEXICO | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS ASIA (SINGAPORE) LTD. | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS ASIA LTD. | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS DEUTSCHLAND | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS GS LTD | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS IF | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS JAPAN LTD. | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS PARIS | Other investment adviser, including financial planners |
| AXA INVESTMENT MANAGERS SWITZERLAND LTD. | Other investment adviser, including financial planners |
| AXA REIM SGP | Other investment adviser, including financial planners |
| AXA, S.A. | Insurance company or agency |
| U.S. VALUE-ADD REAL ESTATE CLUB GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| XL GROUP INVESTMENTS LTD | Insurance company or agency |
| XL UNDERWRITING MANAGERS LTD | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ADAGIO IV CLO DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $441.4M | $0.3M | 17 |
| ADAGIO IX CLO, DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $440.3M | $0.3M | 20 |
| ADAGIO V CLO DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $379.8M | $0.3M | 9 |
| ADAGIO VI CLO DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $375.9M | $0.3M | 27 |
| ADAGIO VII CLO, DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $437.1M | $0.3M | 25 |
| ADAGIO VIII CLO, DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $382.1M | $0.3M | 25 |
| ADAGIO X CLO DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | $367.0M | $0.3M | 20 |
| ALLEGRO CLO II-S, LTD. | Securitized Asset Fund | $219.7M | $0.3M | 28 |
| ALLEGRO CLO IV, LTD | Securitized Asset Fund | $259.5M | $0.3M | 20 |
| ALLEGRO CLO IX, LTD. | Securitized Asset Fund | $537.7M | $0.3M | 2 |
| ALLEGRO CLO V, LTD | Securitized Asset Fund | $456.8M | $0.3M | 5 |
| ALLEGRO CLO VI, LTD. | Securitized Asset Fund | $432.2M | $0.3M | 5 |
| ALLEGRO CLO VII, LTD. | Securitized Asset Fund | $374.3M | $0.3M | 6 |
| ALLEGRO CLO VIII, LTD. | Securitized Asset Fund | $378.9M | $0.3M | 6 |
| ALLEGRO CLO X, LTD. | Securitized Asset Fund | $293.6M | $0.3M | 2 |
| ALLEGRO CLO XI, LTD | Securitized Asset Fund | $396.0M | $0.3M | 2 |
| ALLEGRO CLO XII, LTD | Securitized Asset Fund | $399.8M | $0.3M | 20 |
| ALLEGRO CLO XIII, LTD | Securitized Asset Fund | $501.4M | $0.3M | 20 |
| ALLEGRO CLO XIV, LTD | Securitized Asset Fund | $500.3M | $0.3M | 20 |
| ALLEGRO CLO XV, LTD | Securitized Asset Fund | $399.9M | $0.3M | 20 |
| AXA IM U.S. HIGH YIELD FUND, LLC | Hedge Fund | $33.5M | $5.0M | 2 |
| ST. BERNARD OPPORTUNITY FUND I, LTD. | Hedge Fund | $897.8M | $0.1M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BEZAULT, FLORIAN | Individual | – | HEAD OF AXA IM AMERICAS - REGIONAL CFO AMERICAS | 06/2021 | < 5% |
| AXA SA | Foreign Entity | AXA INVESTMENT MANAGERS SA | SHAREHOLDER | 02/1999 | > 75% |
| AXA INVESTMENT MANAGERS SA | Foreign Entity | AXA IM US GROUP HOLDING INC. | SHAREHOLDER | 04/2018 | > 75% |
| AXA IM US GROUP HOLDING INC. | Domestic Entity | – | SHAREHOLDER | 04/2018 | > 75% |
| KIM, SAMUEL, SUNG HAN | Individual | – | CHIEF LEGAL OFFICER | 01/2022 | < 5% |
| DECOUX, MICHEL, HENRI | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |
| Menioux, Jean-Christophe | Individual | – | DIRECTOR / CHAIRMAN | 10/2022 | < 5% |