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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

AXA ROSENBERG INVESTMENT MANAGEMENT LLC

CRD 109077

ORINDA, CA

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Search this name across graphsid dfx:ria:cbdb99e8-576b-8aa5-af18-d4b0776e5884

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 14
On other graphs: 0
Observed: Jan 31, 2012 to Mar 30, 2021
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $22BItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22B
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: 83
Advisory employees: 31
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 88
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $15.6Mgross asset value as reported per fund; never fund size
Custody, client assets: $15.6M
SEC number: 801-56080
CRD: 109077
Filings on the tape: 33
First filed: Jan 31, 2012
Latest filed: Mar 30, 2021
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
AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLC	Other Private Fund	$15.6M	Mar 30, 2021	11	Mar 30, 2016	reported	021-224871
AXA IM INTERNATIONAL SMALL CAP FUND, LLC	Other Private Fund	$12.3M	Sep 28, 2017	1	Jun 21, 2013	dropped	021-198120
AXA ROSENBERG SMALL/MID CAP INSITUTIONAL FUND LLC	Other Private Fund	$3.5M	Jan 31, 2012	1	Jan 31, 2012	dropped	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
ARONA, MARCELLO, (NO MIDDLE NAME)	Director	Na	yes	03/2020	Jan 8, 2014	Mar 30, 2021
AXA IM US GROUP HOLDING INC.	Member	E	yes	01/1999	Mar 22, 2019	Mar 30, 2021
AXA INVESTMENT MANAGERS S.A.	Shareholder	E	yes	12/1998	Mar 28, 2014	Mar 30, 2021
AXA ROSENBERG GROUP LLC	Member	E	yes	01/1999	Jan 31, 2012	Mar 30, 2021
AXA SA	Shareholder	E	yes	06/1997	Jan 31, 2012	Mar 30, 2021
DECOUX, MICHEL, HENRI	HEAD OF RISK MANAGEMENT	Na	yes	01/2014	Jan 8, 2014	Mar 30, 2021
FLAVIER, PAUL, N/A	HEAD OF ROSENBERG EQUITIES & CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	03/2020	Mar 28, 2013	Mar 30, 2021
Gupta, Anubhuti	HEAD OF INVESTMENT, APAC (NO MIDDLE NAME)	Na	yes	03/2020	Mar 27, 2020	Mar 30, 2021
KIM, SAMUEL, SUNG HAN	CHIEF LEGAL OFFICER	Na	yes	04/2012	May 16, 2012	Mar 30, 2021
Pradal, Bruno	CHIEF TECHNOLOGY OFFICER	Na	yes	03/2011	Jan 29, 2019	Mar 30, 2021
Quaresma, Kevin, Arthur	INTERIM CHIEF FINANCIAL OFFICER	Na	yes	03/2021	Mar 30, 2021	Mar 30, 2021
SABO, CATHY, JEAN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2012	Mar 28, 2013	Mar 30, 2021
SMITH, DAVID, LAWRENCE	HEAD OF TRADING & ADMINISTRATIVE OFFICER	Na	yes	03/2014	Mar 28, 2014	Mar 30, 2021
Smith, Gideon, Zev	CHIEF INVESTMENT OFFICER	Na	yes	01/2019	Jan 29, 2019	Mar 30, 2021
Stoter, Hans, (no middle name)	DIRECTOR AND CHAIRMAN, AXA IM GLOBAL HEAD OF AXA IM CORE	Na	yes	03/2020	Mar 27, 2020	Mar 30, 2021
WHITE, Jonathan, (no middle name)	HEAD OF INVESTMENT STRATEGY & RESEARCH	Na	yes	03/2020	Mar 27, 2020	Mar 30, 2021

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
AXA INVESTMENT MANAGERS INC	n/a	Asset manager	$79B	N	yes	n/a
AXA FUNDS MANAGEMENT S.A.	n/a	n/a	n/a	N	yes	n/a
AXA INVESTMENT MANAGERS ASIA (SINGAPORE) LTD.	n/a	n/a	n/a	N	yes	n/a
AXA INVESTMENT MANAGERS JAPAN LTD.	n/a	n/a	n/a	N	yes	n/a
AXA INVESTMENT MANAGERS PARIS, S.A.	n/a	n/a	n/a	N	yes	n/a
AXA INVESTMENT MANAGERS UK LIMITED	n/a	n/a	n/a	N	yes	n/a
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED	n/a	n/a	n/a	N	yes	n/a
AXA ROSENBERG MANAGEMENT IRELAND LTD.	n/a	n/a	n/a	N	yes	n/a
AXA, S.A.	n/a	n/a	n/a	Y	no	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
2020	Mar 30, 2021	$22B	$22B	83	31	0	1	$15.6M
2019	Mar 27, 2020	$21B	$21B	96	35	0	1	$94.8M
2018	Mar 22, 2019	$19B	$18B	119	56	0	1	$78.3M
2017	Mar 29, 2018	$22B	$22B	118	50	0	1	$28.2M
2016	Mar 30, 2017	$20B	$20B	132	54	n/a	2	$31.8M
2015	Mar 30, 2016	$22B	$22B	129	51	n/a	2	$25.5M
2014	Mar 30, 2015	$27B	$27B	124	50	n/a	1	$11.3M
2013	Mar 28, 2014	$27B	$26B	121	48	n/a	1	$11.7M
2012	Mar 28, 2013	$21B	$20B	134	48	n/a	n/a	n/a
2011	Jan 31, 2012	$283M	$283M	n/a	n/a	n/a	1	$3.5M

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
2020	$22B	$21B	7.9%	$22B	-0.4%	83	96	0	0

Relationships

Affiliated with (4)

→ AXA INVESTMENT MANAGERS US INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← W.P. STEWART & CO., LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← ALLIANCE CORPORATE FINANCE GROUP INCRegistered adviserother investment adviser, common control
factForm ADV
← BARR ROSENBERG RESEARCH CENTER LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

→ AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLCPrivate fundOther Private Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ AXA IM INTERNATIONAL SMALL CAP FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Jun 21, 2013 to Sep 28, 2017factForm ADV
→ AXA ROSENBERG SMALL/MID CAP INSITUTIONAL FUND LLCPrivate fundOther Private Fund, IA, no longer reported
Jan 31, 2012 to Jan 31, 2012factForm ADV

Controls (16)

← SABO, CATHY, JEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← SMITH, DAVID, LAWRENCEOwnerHEAD OF TRADING & ADMINISTRATIVE OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← KIM, SAMUEL, SUNG HANOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
May 16, 2012 to presentfactForm ADV
← FLAVIER, PAUL, N/AOwnerHEAD OF ROSENBERG EQUITIES & CHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← ARONA, MARCELLO, (NO MIDDLE NAME)OwnerDIRECTOR, ownership code NA, individual
Jan 8, 2014 to presentfactForm ADV
← DECOUX, MICHEL, HENRIOwnerHEAD OF RISK MANAGEMENT, ownership code NA, individual
Jan 8, 2014 to presentfactForm ADV
← Pradal, BrunoOwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Jan 29, 2019 to presentfactForm ADV
← Smith, Gideon, ZevOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 29, 2019 to presentfactForm ADV
← WHITE, Jonathan, (no middle name)OwnerHEAD OF INVESTMENT STRATEGY & RESEARCH, ownership code NA, individual
Mar 27, 2020 to presentfactForm ADV
← Gupta, AnubhutiOwnerHEAD OF INVESTMENT, APAC (NO MIDDLE NAME), ownership code NA, individual
Mar 27, 2020 to presentfactForm ADV
← Stoter, Hans, (no middle name)OwnerDIRECTOR AND CHAIRMAN, AXA IM GLOBAL HEAD OF AXA IM CORE, ownership code NA, individual
Mar 27, 2020 to presentfactForm ADV
← Quaresma, Kevin, ArthurOwnerINTERIM CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2021 to presentfactForm ADV
← AXA IM US GROUP HOLDING INC.OwnerMEMBER, ownership code E, domestic entity
Mar 22, 2019 to presentfactForm ADV
← AXA INVESTMENT MANAGERS S.A.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 28, 2014 to presentfactForm ADV
← AXA ROSENBERG GROUP LLCOwnerMEMBER, ownership code E, domestic entity
Jan 31, 2012 to presentfactForm ADV
← AXA SAOwnerSHAREHOLDER, ownership code E, foreign entity
Jan 31, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2021
Control person joined
Arthur Kevin Quaresma (Interim Chief Financial Officer) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Marie Kathleen Houssels (Global Chief Investment Officer & Head Of Research/Models, Director) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Khashabi Heidi Ridley (Global Chief Executive Officer, Director) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Paolo Andrea Rossi (Chairman, Director) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Gilou Joseph Pinto (Director) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Howland Mary Demler (Chief Administrative Officer) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person left
Denise Ntonta (Chief Operating Officer) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2019-03-22, absent 2020-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
N/A Paul Flavier (Head Of Rosenberg Equities & Chief Executive Officer, Director) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
(No Middle Name) Jonathan White (Head Of Investment Strategy & Research) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
Anubhuti Gupta (Head Of Investment, Apac (No Middle Name)) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Control person joined
(No Middle Name) Hans Stoter (Director And Chairman, Axa Im Global Head Of Axa Im Core) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Jan 29, 2019
Control person joined
Bruno Pradal (Chief Technology Officer) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Jan 29, 2019
Control person joined
Zev Gideon Smith (Global Head Of Portfolio Management And Cio) appeared on Schedule A of Axa Rosenberg Investment Management Llc
Form ADVobserved 4 days ago
Occurred
Jan 29, 2019
Control person left
William Francis Jump (Cio Americas) no longer on Schedule A of Axa Rosenberg Investment Management Llc (listed 2018-07-12, absent 2019-01-29)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cbdb99e8-576b-8aa5-af18-d4b0776e5884
First observed: Jan 31, 2012
Last observed: Mar 30, 2021 66 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.

AXA ROSENBERG INVESTMENT MANAGEMENT LLC

CRD 109077

ORINDA, CA

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:cbdb99e8-576b-8aa5-af18-d4b0776e5884

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLC

Other Private Fund

$15.6M

Mar 30, 2021

Mar 30, 2016

reported

021-224871

AXA IM INTERNATIONAL SMALL CAP FUND, LLC

Other Private Fund

$12.3M

Sep 28, 2017

Jun 21, 2013

dropped

021-198120

AXA ROSENBERG SMALL/MID CAP INSITUTIONAL FUND LLC

Other Private Fund

$3.5M

Jan 31, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARONA, MARCELLO, (NO MIDDLE NAME)

Director

yes

03/2020

Jan 8, 2014

Mar 30, 2021

AXA IM US GROUP HOLDING INC.

Member

yes

01/1999

Mar 22, 2019

Mar 30, 2021

AXA INVESTMENT MANAGERS S.A.

Shareholder

yes

12/1998

Mar 28, 2014

Mar 30, 2021

AXA ROSENBERG GROUP LLC

Member

yes

01/1999

Jan 31, 2012

Mar 30, 2021

AXA SA

Shareholder

yes

06/1997

Jan 31, 2012

Mar 30, 2021

DECOUX, MICHEL, HENRI

HEAD OF RISK MANAGEMENT

yes

01/2014

Jan 8, 2014

Mar 30, 2021

FLAVIER, PAUL, N/A

HEAD OF ROSENBERG EQUITIES & CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

03/2020

Mar 28, 2013

Mar 30, 2021

Gupta, Anubhuti

HEAD OF INVESTMENT, APAC (NO MIDDLE NAME)

yes

03/2020

Mar 27, 2020

Mar 30, 2021

KIM, SAMUEL, SUNG HAN

CHIEF LEGAL OFFICER

yes

04/2012

May 16, 2012

Mar 30, 2021

Pradal, Bruno

CHIEF TECHNOLOGY OFFICER

yes

03/2011

Jan 29, 2019

Mar 30, 2021

Quaresma, Kevin, Arthur

INTERIM CHIEF FINANCIAL OFFICER

yes

03/2021

Mar 30, 2021

SABO, CATHY, JEAN

CHIEF COMPLIANCE OFFICER

yes

04/2012

Mar 28, 2013

Mar 30, 2021

SMITH, DAVID, LAWRENCE

HEAD OF TRADING & ADMINISTRATIVE OFFICER

yes

03/2014

Mar 28, 2014

Mar 30, 2021

Smith, Gideon, Zev

CHIEF INVESTMENT OFFICER

yes

01/2019

Jan 29, 2019

Mar 30, 2021

Stoter, Hans, (no middle name)

DIRECTOR AND CHAIRMAN, AXA IM GLOBAL HEAD OF AXA IM CORE

yes

03/2020

Mar 27, 2020

Mar 30, 2021

WHITE, Jonathan, (no middle name)

HEAD OF INVESTMENT STRATEGY & RESEARCH

yes

03/2020

Mar 27, 2020

Mar 30, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AXA INVESTMENT MANAGERS INC

n/a

Asset manager

$79B

yes

n/a

AXA FUNDS MANAGEMENT S.A.

n/a

yes

n/a

AXA INVESTMENT MANAGERS ASIA (SINGAPORE) LTD.

n/a

yes

n/a

AXA INVESTMENT MANAGERS JAPAN LTD.

n/a

yes

n/a

AXA INVESTMENT MANAGERS PARIS, S.A.

n/a

yes

n/a

AXA INVESTMENT MANAGERS UK LIMITED

n/a

yes

n/a

AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED

n/a

yes

n/a

AXA ROSENBERG MANAGEMENT IRELAND LTD.

n/a

yes

n/a

AXA, S.A.

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 30, 2021

$22B

$15.6M

2019

Mar 27, 2020

$21B

$94.8M

2018

Mar 22, 2019

$19B

$18B

119

$78.3M

2017

Mar 29, 2018

$22B

118

$28.2M

2016

Mar 30, 2017

$20B

132

n/a

$31.8M

2015

Mar 30, 2016

$22B

129

n/a

$25.5M

2014

Mar 30, 2015

$27B

124

n/a

$11.3M

2013

Mar 28, 2014

$27B

$26B

121

n/a

$11.7M

2012

Mar 28, 2013

$21B

$20B

134

n/a

2011

Jan 31, 2012

$283M

n/a

$3.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$22B

$21B

7.9%

$22B

-0.4%