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

BARR ROSENBERG RESEARCH CENTER LLC

CRD 109486

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:f2cfaf31-7631-7f11-d3d1-d663ef11aa5d

Data as of Sep 5, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2012 to Sep 5, 2012
2 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: $21BItem 5.F on the latest filing (2012-09-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $21B
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
Accounts: 112
SEC number: 801-56082
CRD: 109486
Filings on the tape: 2
First filed: Jan 31, 2012
Latest filed: Sep 5, 2012
Organised: Limited Liability Company, Delaware

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
AXA INVESTMENT MANAGERS SA	Shareholder	E	yes	12/1998	Jan 31, 2012	Sep 5, 2012
AXA ROSENBERG GROUP LLC	Member	E	yes	01/1999	Jan 31, 2012	Sep 5, 2012
AXA SA	Shareholder	E	yes	06/1997	Jan 31, 2012	Sep 5, 2012
AXA-IM HOLDING US INC.	Member	E	yes	01/1999	Jan 31, 2012	Sep 5, 2012
AXA-IM ROSE, INC.	Member	E	yes	01/1999	Jan 31, 2012	Sep 5, 2012
BASKIN, JEREMY, MATTHEW	GROUP CHIEF EXECUTIVE OFFICER, GLOBAL HEAD OF PORTFOLIO MANAGEMENT AND CEO AMERICAS	Na	yes	01/2011	Jan 31, 2012	Sep 5, 2012
DONALDSON, SARA, MELOHN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2004	Jan 31, 2012	Sep 5, 2012
HOUSSELS, KATHLEEN	HEAD OF RESEARCH AND MODELS	Na	yes	08/2012	Jan 31, 2012	Sep 5, 2012
KIM, SAMUEL, SUNG HAN	CHIEF LEGAL OFFICER	Na	yes	04/2012	Sep 5, 2012	Sep 5, 2012
ORDONNEAU, VINCENT, PAUL	GROUP CHIEF FINANCIAL OFFICER	Na	yes	02/2006	Jan 31, 2012	Sep 5, 2012
RIDLEY, HEIDI, KHASHABI	CHIEF OPERATING OFFICER	Na	yes	04/2011	Jan 31, 2012	Sep 5, 2012

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 ROSENBERG INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$22B	N	yes	n/a
AXA INVESTMENT MANAGERS PARIS	n/a	n/a	n/a	Y	yes	n/a
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC 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 INVESTMENT MANAGEMENT LTD.	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
MAXA INVESTMENT MANAGERS JAPAN LTD.	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
2011	Jan 31, 2012	$21B	$21B	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
2011	$21B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ AXA ROSENBERG INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ AXA INVESTMENT MANAGERS US INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (11)

← DONALDSON, SARA, MELOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← BASKIN, JEREMY, MATTHEWOwnerGROUP CHIEF EXECUTIVE OFFICER, GLOBAL HEAD OF PORTFOLIO MANAGEMENT AND CEO AMERICAS, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← RIDLEY, HEIDI, KHASHABIOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← KIM, SAMUEL, SUNG HANOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Sep 5, 2012 to presentfactForm ADV
← ORDONNEAU, VINCENT, PAULOwnerGROUP CHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← HOUSSELS, KATHLEENOwnerHEAD OF RESEARCH AND MODELS, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← AXA INVESTMENT MANAGERS SAOwnerSHAREHOLDER, ownership code E, foreign entity
Jan 31, 2012 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
← AXA-IM HOLDING US INC.OwnerMEMBER, ownership code E, domestic entity
Jan 31, 2012 to presentfactForm ADV
← AXA-IM ROSE, INC.OwnerMEMBER, ownership code E, domestic entity
Jan 31, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2cfaf31-7631-7f11-d3d1-d663ef11aa5d
First observed: Jan 31, 2012
Last observed: Sep 5, 2012 170 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.

BARR ROSENBERG RESEARCH CENTER LLC

CRD 109486

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:f2cfaf31-7631-7f11-d3d1-d663ef11aa5d

Data as of Sep 5, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AXA INVESTMENT MANAGERS SA

Shareholder

yes

12/1998

Jan 31, 2012

Sep 5, 2012

AXA ROSENBERG GROUP LLC

Member

yes

01/1999

Jan 31, 2012

Sep 5, 2012

AXA SA

Shareholder

yes

06/1997

Jan 31, 2012

Sep 5, 2012

AXA-IM HOLDING US INC.

Member

yes

01/1999

Jan 31, 2012

Sep 5, 2012

AXA-IM ROSE, INC.

Member

yes

01/1999

Jan 31, 2012

Sep 5, 2012

BASKIN, JEREMY, MATTHEW

GROUP CHIEF EXECUTIVE OFFICER, GLOBAL HEAD OF PORTFOLIO MANAGEMENT AND CEO AMERICAS

yes

01/2011

Jan 31, 2012

Sep 5, 2012

DONALDSON, SARA, MELOHN

CHIEF COMPLIANCE OFFICER

yes

03/2004

Jan 31, 2012

Sep 5, 2012

HOUSSELS, KATHLEEN

HEAD OF RESEARCH AND MODELS

yes

08/2012

Jan 31, 2012

Sep 5, 2012

KIM, SAMUEL, SUNG HAN

CHIEF LEGAL OFFICER

yes

04/2012

Sep 5, 2012

ORDONNEAU, VINCENT, PAUL

GROUP CHIEF FINANCIAL OFFICER

yes

02/2006

Jan 31, 2012

Sep 5, 2012

RIDLEY, HEIDI, KHASHABI

CHIEF OPERATING OFFICER

yes

04/2011

Jan 31, 2012

Sep 5, 2012

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 ROSENBERG INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$22B

yes

n/a

AXA INVESTMENT MANAGERS PARIS

n/a

yes

n/a

AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED

n/a

yes

n/a

AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED

n/a

yes

n/a

AXA ROSENBERG INVESTMENT MANAGEMENT LTD.

n/a

yes

n/a

AXA ROSENBERG MANAGEMENT IRELAND LTD.

n/a

yes

n/a

MAXA INVESTMENT MANAGERS JAPAN LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Jan 31, 2012

$21B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$21B

n/a