DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Amundi Asset Management US, Inc.
Latest filing Jan 8, 2025
First filing on the tape Mar 30, 2012 · 54 filings
SEC status approved since Dec 14, 1971
RAUM
$120B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$31.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
373
108 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$120B as of Jan 8, 2025
Mar 30, 2012$55B then
HNW client RAUM$31.0M as of Jan 8, 2025
Mar 31, 2021$50.8M then
State-registered IARs (5.B.3)81 as of Jan 8, 2025
Mar 30, 20120 then
Employees (5.A)373 as of Jan 8, 2025
Mar 28, 201381 then
Private funds6 as of Jan 8, 2025
Mar 30, 20171 then
RAUM +20% over the last fiscal year+5.9% a year over threeIARs 81 to 81
Practice profile
derived from the filing of Jan 8, 2025; every figure names its basis
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $466MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.6derivedItem 5.A over advisors
- Advisors per office
- 40.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$55B50%
- Pooled investment vehicles$40B36%
- State and municipal entities$5.6B5.1%
- Pension and profit-sharing plans$4.4B4.0%
- Banks and thrifts$3.5B3.2%
- Charitable organizations$867M0.8%
- Insurance companies$699M0.6%
- High-net-worth individuals$31.0M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 41reported
- Charitable clients
- 5reported
- Accounts
- 257reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- David Michael Martin to Aristotle Capital Management, LLCApr 25, 2025 · Other
- Zacharias Miller to Natixis Advisors, LLCApr 25, 2025 · Other
- Jack Bernard Mccaffrey to Mfs Institutional Advisors Inc.Apr 25, 2025 · Other
- Jenna Sellman Wischhover to Columbia Management Investment Advisers, LLCApr 25, 2025 · Other
- Michael Tran to John Hancock Investment Management LLCApr 25, 2025 · Other
- Michael J Botte to F/M Investments LLCApr 25, 2025 · Other
- Christopher Lewis Chandler to Crossmark Global Investments, Inc.Apr 25, 2025 · Other
- Brian M Lomedico to Pacer Advisors, Inc.Apr 25, 2025 · Other
- Dustin C Gaj to MarinerApr 25, 2025 · Other
- Peter David Driscoll to Nomura Investment Management Business TrustApr 25, 2025 · Other
- Vaughan Preston O'Neal to UBS Financial Services Inc.Apr 25, 2025 · Other
- Matthew M Zorumski to Proshare Advisors LLCApr 25, 2025 · Other
- Elizabeth Bucalo to F/M Investments LLCApr 25, 2025 · Other
- Robert Troy Sant to Nuveen Asset Management, LLCApr 25, 2025 · Other
- Jason Circelli to Pacer Advisors, Inc.Apr 25, 2025 · Other
Joined, latest
- Jeffrey Toussaint from Blackrock Investment Management, LLCSep 24, 2024 · Other
- Christopher Lewis Chandler from Tcw Investment Management Company LLCAug 28, 2024 · Other
- John Charles Cove from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 17, 2024 · Other
- Patrick Christopher Foley from Allspring Funds Management, LLCJun 4, 2024 · Other
- Thomas Hughes from Citigroup Global Markets Inc.May 22, 2024 · Other
- Daniel Nobile from Equitable Advisors, LLCOct 12, 2022 · Other
- Russell Sully from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 28, 2022 · Other
- Jeffrey Kinberg from Lord, Abbett & Co. LLCDec 23, 2021 · Other
- David Adam Weeden from Commonwealth Financial NetworkApr 29, 2021 · Other
- Dustin C Gaj from Pnc Capital Advisors LLCMar 24, 2021 · Other
- Scott J Clements from Blackrock Capital Management, Inc.Nov 30, 2005 · Other
- Elizabeth Anderson from Amsouth Investment Management Company LLCNov 9, 2005 · Other
- Shamim Johnson Koch from Amsouth Investment Management Company LLCNov 9, 2005 · Other
- Brandon Michael Sexton from Osaic Fa, Inc.Nov 7, 2005 · Other
- Mitchell Zides from John Hancock Investment Management LLCOct 12, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Pacer Advisors, Inc.Apr 25, 2025 · Boston, Ma
- 2 left for F/M Investments LLCApr 25, 2025 · Boston, Ma
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Institutional Multi Sector Fixed Income Portfolio | Hedge Fund | $848M | 10 | Jan 17, 2012 |
| The Prudential Insurance Company Of America Variable Contract Account Gi-100-7-Sb-Ar | Hedge Fund | $63.1M | 8 | Apr 2, 2012 |
| Carolina Securitized Credit Opportunities Ltd. | Hedge Fund | $46.7M | 1 | Oct 30, 2013 |
| Carolina Securitized Credit Opportunities Master Ltd. | Hedge Fund | $46.7M | 3 | Apr 2, 2012 |
| Emerging Markets Equity Focus Portfolio | Hedge Fund | $44.8M | 2 | Dec 5, 2022 |
| Ils Orion Fund Ltd. | Other Private Fund | $15.6M | 3 | Mar 30, 2017 |
| Carolina Securitized Credit Opportunities LLC | Hedge Fund | $2,379 | 2 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Etienne Patrice Blanc · Chief Operations Officer, Directorcontrolsince 07/2017 · owns less than 5%
- Dominique Carrel-Billiard · Directorcontrolsince 07/2017 · owns less than 5%
- Henri Bernard De Wit · Directorcontrolsince 07/2017 · owns less than 5%
- Matthew Gregg Dooling · Chief Financial Officercontrolsince 09/2008 · owns less than 5%
- David John Johnson · Chief Legal Officercontrolsince 04/2022 · owns less than 5%
- M Lisa Jones · President, Chairman & Chief Executive Officer, Directorcontrolsince 08/2014 · owns less than 5%
- Yana Karalnik · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- Michael John Malone · Managing Directorcontrolsince 09/2018 · owns less than 5%
- Marco Pirondini · Chief Investment Officer, Evpcontrolsince 01/2024 · owns less than 5%
Entity owners
- Amundi US, Inc · Shareholderdirect · owns 75% or more
- Amundi · Shareholderindirect · owns 75% or more of Amundi Asset Management
- Amundi Asset Management · Shareholderindirect · owns 75% or more of Amundi Holdings US, Inc
- Amundi Holdings US, Inc · Memberindirect · owns 75% or more of Amundi US, Inc
- Credit Agricole Sa · Shareholderindirect · owns 50% to 75% of Amundi
- Sas Rue La Boetie · Shareholderindirect · owns 50% to 75% of Credit Agricole Sa
Related persons
Schedule D 7.A
- Abc-Ca Fund Management Co. Ltd.investment advisern
- Amundiy
- Amundi (Uk) Limitedinvestment advisern
- Amundi Aalam Sdn Bhdinvestment advisern
- Amundi Alternative Investments Ireland Ltd.investment advisern
- Amundi Asset Managementinvestment advisery
- Amundi Asset Management Sai Sainvestment advisern
- Amundi Austria Gmbhinvestment advisern
- Amundi Canada Inc.broker-dealerinvestment advisern
- Amundi Czech Republic Asset Management, A.S.investment advisern
- Amundi Deutschland Gmbhinvestment advisern
- Amundi Distributor US, Inc.broker-dealery
- Amundi Hong Kong Ltdinvestment advisern
- Amundi Iberia S.G.I.I.C., S.A.investment advisern
- Amundi Intermediationbroker-dealern
- Amundi Investment Fund Management Private Limited Companyinvestment advisern
- Amundi Ireland Ltd.investment adviserpooled vehicle sponsorn
- Amundi Japan Ltd.investment advisernRAUM $40B
- Amundi Luxembourg S.A.investment advisern
- Amundi Malaysia Sdn Bhdinvestment advisern
- Amundi Polska Tfibroker-dealerinvestment advisern
- Amundi Singapore Limitedbroker-dealerinvestment advisern
- Amundi Societa Di Gestione Del Risparmio S.P.Ainvestment advisern
- Amundi Suisse Sainvestment advisern
- Amundi Taiwan Limitedinvestment advisern
- Caceis Bank Luxembourg S.A.custodiann
- Caceis S.A.n
- Cpr Asset Managementinvestment advisern
- Credit Agricole Cibn
- Credit Agricole Say
Advisers that list Amundi Asset Management US, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Durham, NC27 employees
What changed
consecutive filings, newest first
- Accounts · 260 to 257Sep 23, 2024 to Jan 8, 2025
- Charity clients · unset to 5.0Sep 23, 2024 to Jan 8, 2025
- Pension plan clients · 10 to 41Sep 23, 2024 to Jan 8, 2025
- Pooled vehicle clients · 122 to 120Sep 23, 2024 to Jan 8, 2025
- Discretionary RAUM · $98B to $112BSep 23, 2024 to Jan 8, 2025
- HNW RAUM · $47.4M to $31.0MSep 23, 2024 to Jan 8, 2025
- Non-discretionary RAUM · $1.6B to $7.5BSep 23, 2024 to Jan 8, 2025
- Pension RAUM · $4.0B to $4.4BSep 23, 2024 to Jan 8, 2025
- Pooled vehicle RAUM · $35B to $40BSep 23, 2024 to Jan 8, 2025
- RAUM · $100B to $120BSep 23, 2024 to Jan 8, 2025
- Accounts · 251 to 260Aug 31, 2023 to Mar 26, 2024
- Advisory employees · 110 to 108Aug 31, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Aug 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 116 to 122Aug 31, 2023 to Mar 26, 2024
- Employees · 370 to 373Aug 31, 2023 to Mar 26, 2024
- Private funds · 7 to 6Aug 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $90B to $98BAug 31, 2023 to Mar 26, 2024
- HNW RAUM · $45.3M to $47.4MAug 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.1B to $1.6BAug 31, 2023 to Mar 26, 2024
- Pension RAUM · $3.9B to $4.0BAug 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $32B to $35BAug 31, 2023 to Mar 26, 2024
- RAUM · $91B to $100BAug 31, 2023 to Mar 26, 2024
- Accounts · 220 to 251Jan 10, 2023 to Mar 30, 2023
- Advisory employees · 109 to 110Jan 10, 2023 to Mar 30, 2023
- BD registered reps · 80 to 81Jan 10, 2023 to Mar 30, 2023
- Charity clients · 5.0 to unsetJan 10, 2023 to Mar 30, 2023
- Pension plan clients · 40 to 8Jan 10, 2023 to Mar 30, 2023
- Pooled vehicle clients · 97 to 116Jan 10, 2023 to Mar 30, 2023
- State-registered IARs · 80 to 81Jan 10, 2023 to Mar 30, 2023
- Discretionary RAUM · $101B to $90BJan 10, 2023 to Mar 30, 2023
- HNW RAUM · $50.0M to $45.3MJan 10, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $153M to $1.1BJan 10, 2023 to Mar 30, 2023
- Pension RAUM · $4.4B to $3.9BJan 10, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $33B to $32BJan 10, 2023 to Mar 30, 2023
- RAUM · $101B to $91BJan 10, 2023 to Mar 30, 2023
- Private funds · 6 to 7Nov 2, 2022 to Dec 5, 2022
- Accounts · 203 to 220Mar 3, 2022 to Mar 31, 2022
- Advisory employees · 108 to 109Mar 3, 2022 to Mar 31, 2022
- BD registered reps · 87 to 80Mar 3, 2022 to Mar 31, 2022
- Charity clients · 6 to 5Mar 3, 2022 to Mar 31, 2022
Signals
56 dated events
- Amundi Asset Management Us, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $119.9B)May 2, 2025 · Left the SEC roster · derived
- Dustin C Gaj left Amundi Asset Management Us, Inc. for Mariner (registered 2025-05-14)Apr 25, 2025 · Advisor changed firm · fact
- Robert Troy Sant left Amundi Asset Management Us, Inc. for Nuveen Asset Management, Llc (registered 2025-10-24)Apr 25, 2025 · Advisor changed firm · fact
- Jason Circelli left Amundi Asset Management Us, Inc. for Pacer Advisors, Inc. (registered 2025-06-10)Apr 25, 2025 · Advisor changed firm · fact
- Peter David Driscoll left Amundi Asset Management Us, Inc. for Nomura Investment Management Business Trust (registered 2025-06-18)Apr 25, 2025 · Advisor changed firm · fact
- Zacharias Miller left Amundi Asset Management Us, Inc. for Natixis Advisors, Llc (registered 2025-08-06)Apr 25, 2025 · Advisor changed firm · fact
- David Michael Martin left Amundi Asset Management Us, Inc. for Aristotle Capital Management, Llc (registered 2025-10-01)Apr 25, 2025 · Advisor changed firm · fact
- Christopher Lewis Chandler left Amundi Asset Management Us, Inc. for Crossmark Global Investments, Inc. (registered 2026-01-27)Apr 25, 2025 · Advisor changed firm · fact
- Michael Tran left Amundi Asset Management Us, Inc. for John Hancock Investment Management Llc (registered 2025-05-07)Apr 25, 2025 · Advisor changed firm · fact
- Michael J Botte left Amundi Asset Management Us, Inc. for F/M Investments Llc (registered 2026-02-19)Apr 25, 2025 · Advisor changed firm · fact
- Matthew M Zorumski left Amundi Asset Management Us, Inc. for Proshare Advisors Llc (registered 2025-04-24)Apr 25, 2025 · Advisor changed firm · fact
- Elizabeth Bucalo left Amundi Asset Management Us, Inc. for F/M Investments Llc (registered 2026-03-16)Apr 25, 2025 · Advisor changed firm · fact
- Jack Bernard Mccaffrey left Amundi Asset Management Us, Inc. for Mfs Institutional Advisors Inc. (registered 2025-08-25)Apr 25, 2025 · Advisor changed firm · fact
- Jenna Sellman Wischhover left Amundi Asset Management Us, Inc. for Columbia Management Investment Advisers, Llc (registered 2025-07-10)Apr 25, 2025 · Advisor changed firm · fact
- Vaughan Preston O'Neal left Amundi Asset Management Us, Inc. for Ubs Financial Services Inc. (registered 2025-11-03)Apr 25, 2025 · Advisor changed firm · fact
- Brian M Lomedico left Amundi Asset Management Us, Inc. for Pacer Advisors, Inc. (registered 2025-05-05)Apr 25, 2025 · Advisor changed firm · fact
- 2 advisors left Amundi Asset Management US, Inc. (Boston, MA) for Pacer Advisors, Inc. on the same dayApr 25, 2025 · Team lift-out · derived
- 2 advisors left Amundi Asset Management US, Inc. (Boston, MA) for F/M Investments LLC on the same dayApr 25, 2025 · Team lift-out · derived
- Kellen Charles Creedon left Amundi Asset Management Us, Inc. for F/M Investments Llc (registered 2026-03-16)Mar 14, 2025 · Advisor changed firm · fact
- Shane Michael Donohue left Amundi Asset Management Us, Inc. for John Hancock Investment Management Llc (registered 2025-03-21)Mar 3, 2025 · Advisor changed firm · fact
- Michael James Oconnor left Amundi Asset Management Us, Inc. for Polen Capital Management, Llc (registered 2025-03-26)Feb 18, 2025 · Advisor changed firm · fact
- Timothy Sean Carley left Amundi Asset Management Us, Inc. for Tcw Investment Management Company Llc (registered 2025-01-23)Jan 2, 2025 · Advisor changed firm · fact
- Brian Kichton left Amundi Asset Management Us, Inc. for Invesco Advisers, Inc. (registered 2025-01-13)Dec 16, 2024 · Advisor changed firm · fact
- Jeffrey Kinberg left Amundi Asset Management Us, Inc. for John Hancock Investment Management Llc (registered 2025-01-02)Nov 29, 2024 · Advisor changed firm · fact
- Brent Paul Abendroth left Amundi Asset Management Us, Inc. for Tcw Investment Management Company Llc (registered 2024-10-07)Sep 13, 2024 · Advisor changed firm · fact
- Cy Octavian Aleman left Amundi Asset Management Us, Inc. for Ubs Financial Services Inc. (registered 2024-06-11)Jun 4, 2024 · Advisor changed firm · fact
- James Patrick Burke left Amundi Asset Management Us, Inc. for Payden & Rygel (registered 2024-10-31)May 6, 2024 · Advisor changed firm · fact
- Walter Wright Edler left Amundi Asset Management Us, Inc. for Raymond James & Associates, Inc. (registered 2024-06-17)Apr 19, 2024 · Advisor changed firm · fact
- James Kenneth Taubes (Chief Investment Officer, Director) no longer on Schedule A of Amundi Asset Management Us, Inc. (listed 2023-08-31, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Marco Pirondini (Chief Investment Officer, Evp) appeared on Schedule A of Amundi Asset Management Us, Inc.Mar 26, 2024 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026