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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NATIXIS SECURITIES AMERICAS LLC

CRD 1101

NEW YORK, NY

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Search this name across graphsid dfx:ria:25d20f15-30dc-9b7f-2bd4-d9a3459c2c40

Data as of Jul 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 1
Observed: Nov 7, 2011 to Jul 16, 2014
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Natixis Securities Americas LLC

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $57.5MItem 5.F on the latest filing (2014-07-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $57.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 236
Advisory employees: 3
Accounts: 2
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $34.4Mgross asset value as reported per fund; never fund size
SEC number: 801-72849
CRD: 1101
Filings on the tape: 15
First filed: Nov 7, 2011
Latest filed: Jul 16, 2014
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
IXIS ABS CDO 1 LTD.	Securitized Asset Fund	$154M	Jan 14, 2014	5	Mar 25, 2013	reported	n/a
CHROME FUNDING LTD.	Securitized Asset Fund	$34.4M	Jul 16, 2014	5	Mar 25, 2013	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ABOUT, STEPHANE	Director	Na	yes	03/2011	Nov 7, 2011	Jul 16, 2014
Bpce	Owner	D	yes	08/2009	Nov 7, 2011	Jul 16, 2014
BUSQUET, JACQUES JEAN	Director	Na	yes	03/2011	Nov 7, 2011	Jul 16, 2014
DUBROWSKI, ROBERT J MR.	Director	Na	yes	03/2011	Nov 7, 2011	Jul 16, 2014
KENNEALLY, DESMOND MICHAEL	CHIEF FINANCIAL OFFICER	Na	yes	05/2011	Nov 7, 2011	Jul 16, 2014
NATIXIS NORTH AMERICA LLC	PARENT COMPANY/MANAGING MEMBER	E	yes	09/2011	Nov 7, 2011	Jul 16, 2014
PINTO, LOUIS	DIRECTOR/ EXECUTIVE PRINCIPAL/ CHIEF OPERATING OFFICER	Na	yes	11/2010	Nov 7, 2011	Jul 16, 2014
POWELL, DONNA LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2014	Jun 24, 2014	Jul 16, 2014
PROUTEAU, DENIS GUY	Director	Na	yes	07/2013	Aug 27, 2013	Jul 16, 2014
NATIXIS GLOBAL ASSET MANAGEMENT	Owner	E	no	10/2011	Nov 7, 2011	Jul 16, 2014
NATIXIS GLOBAL ASSET MANAGEMENT PARICIPATIONS 1	Owner	E	no	10/2011	Nov 7, 2011	Jul 16, 2014
NATIXIS SA	Owner	E	no	10/2011	Nov 7, 2011	Jul 16, 2014
NATIXIS SA	Owner	F	no	10/2011	Nov 7, 2011	Jul 16, 2014
NATIXIS US HOLDINGS INC	Owner	E	no	10/2011	Nov 7, 2011	Jul 16, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NGAM ADVISORS, L.P.	n/a	Bd affiliated wealth	$109B	N	yes	n/a
NGAM DISTRIBUTION, L.P.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Feb 13, 2014	$57.5M	$57.5M	236	3	n/a	1	$34.4M
2012	Mar 25, 2013	$3.6B	$932M	200	16	n/a	2	$188M
2011	Mar 22, 2012	$5.0B	$2.2B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$57.5M	$3.6B	-98.4%	n/a	n/a	236	200	n/a	n/a

Relationships

Affiliated with (2)

← CHAMONIX PARTNERS CAPITAL MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ NATIXIS ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ CHROME FUNDING LTD.Private fundSecuritized Asset Fund, IA
Mar 25, 2013 to presentfactForm ADV
→ IXIS ABS CDO 1 LTD.Private fundSecuritized Asset Fund, IA
Mar 25, 2013 to presentfactForm ADV

Controls (9)

← PINTO, LOUISOwnerDIRECTOR/ EXECUTIVE PRINCIPAL/ CHIEF OPERATING OFFICER, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← KENNEALLY, DESMOND MICHAELOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← POWELL, DONNA LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 24, 2014 to presentfactForm ADV
← BUSQUET, JACQUES JEANOwnerDIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← ABOUT, STEPHANEOwnerDIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← DUBROWSKI, ROBERT J MR.OwnerDIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfactForm ADV
← PROUTEAU, DENIS GUYOwnerDIRECTOR, ownership code NA, individual
Aug 27, 2013 to presentfactForm ADV
← BPCEOwnerOWNER, ownership code D, foreign entity
Nov 7, 2011 to presentfactForm ADV
← NATIXIS NORTH AMERICA LLCOwnerPARENT COMPANY/MANAGING MEMBER, ownership code E, domestic entity
Nov 7, 2011 to presentfactForm ADV

Owns (4)

← NATIXIS GLOBAL ASSET MANAGEMENTOwnerOWNER, ownership code E, foreign entity
Nov 7, 2011 to presentfactForm ADV
← NATIXIS GLOBAL ASSET MANAGEMENT PARICIPATIONS 1OwnerOWNER, ownership code E, foreign entity
Nov 7, 2011 to presentfactForm ADV
← NATIXIS SAOwnerOWNER, ownership code E, foreign entity
Nov 7, 2011 to presentfactForm ADV
← NATIXIS US HOLDINGS INCOwnerOWNER, ownership code E, domestic entity
Nov 7, 2011 to presentfactForm ADV

Dated events

Occurred
Nov 15, 2011
Succession filed (Item 4)
Natixis Securities Americas Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25d20f15-30dc-9b7f-2bd4-d9a3459c2c40
First observed: Nov 7, 2011
Last observed: Jul 16, 2014 148 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NATIXIS SECURITIES AMERICAS LLC

CRD 1101

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:25d20f15-30dc-9b7f-2bd4-d9a3459c2c40

Data as of Jul 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

IXIS ABS CDO 1 LTD.

Securitized Asset Fund

$154M

Jan 14, 2014

Mar 25, 2013

reported

n/a

CHROME FUNDING LTD.

Securitized Asset Fund

$34.4M

Jul 16, 2014

Mar 25, 2013

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABOUT, STEPHANE

Director

yes

03/2011

Nov 7, 2011

Jul 16, 2014

Bpce

Owner

yes

08/2009

Nov 7, 2011

Jul 16, 2014

BUSQUET, JACQUES JEAN

Director

yes

03/2011

Nov 7, 2011

Jul 16, 2014

DUBROWSKI, ROBERT J MR.

Director

yes

03/2011

Nov 7, 2011

Jul 16, 2014

KENNEALLY, DESMOND MICHAEL

CHIEF FINANCIAL OFFICER

yes

05/2011

Nov 7, 2011

Jul 16, 2014

NATIXIS NORTH AMERICA LLC

PARENT COMPANY/MANAGING MEMBER

yes

09/2011

Nov 7, 2011

Jul 16, 2014

PINTO, LOUIS

DIRECTOR/ EXECUTIVE PRINCIPAL/ CHIEF OPERATING OFFICER

yes

11/2010

Nov 7, 2011

Jul 16, 2014

POWELL, DONNA LYNN

CHIEF COMPLIANCE OFFICER

yes

06/2014

Jun 24, 2014

Jul 16, 2014

PROUTEAU, DENIS GUY

Director

yes

07/2013

Aug 27, 2013

Jul 16, 2014

NATIXIS GLOBAL ASSET MANAGEMENT

Owner

10/2011

Nov 7, 2011

Jul 16, 2014

NATIXIS GLOBAL ASSET MANAGEMENT PARICIPATIONS 1

Owner

10/2011

Nov 7, 2011

Jul 16, 2014

NATIXIS SA

Owner

10/2011

Nov 7, 2011

Jul 16, 2014

NATIXIS SA

Owner

10/2011

Nov 7, 2011

Jul 16, 2014

NATIXIS US HOLDINGS INC

Owner

10/2011

Nov 7, 2011

Jul 16, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NGAM ADVISORS, L.P.

n/a

Bd affiliated wealth

$109B

yes

n/a

NGAM DISTRIBUTION, L.P.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Feb 13, 2014

$57.5M

236

n/a

$34.4M

2012

Mar 25, 2013

$3.6B

$932M

200

n/a

$188M

2011

Mar 22, 2012

$5.0B

$2.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$57.5M

$3.6B

-98.4%

n/a

236

200

n/a