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

Natixis Securities Americas LLC

Former SEC-registered adviserNew York, New YorkCRD 1101SEC 801-72849IAPD
Latest filing Jul 16, 2014
First filing on the tape Nov 7, 2011 · 15 filings
RAUM
$57.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
236
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$34.4M gross assets
History
15 filings and snapshots on the tape
RAUM$57.5M as of Feb 13, 2014
Mar 22, 2012$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 13, 2014
Mar 22, 20120 then
Employees (5.A)236 as of Feb 13, 2014
Mar 25, 2013200 then
Private funds1 as of Feb 13, 2014
Mar 25, 20132 then
RAUM -98% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$28.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-98%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Ixis Abs Cdo 1 Ltd.Securitized Asset Fund$154M5Mar 25, 2013
      Chrome Funding Ltd.Securitized Asset Fund$34.4M5Mar 25, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Stephane About · Directorcontrol
        since 03/2011 · owns less than 5%
      • Jacques Jean Busquet · Directorcontrol
        since 03/2011 · owns less than 5%
      • Robert J Mr. Dubrowski · Directorcontrol
        since 03/2011 · owns less than 5%
      • Desmond Michael Kenneally · Chief Financial Officercontrol
        since 05/2011 · owns less than 5%
      • Louis Pinto · Director/ Executive Principal/ Chief Operating Officercontrol
        since 11/2010 · owns less than 5%
      • Donna Lynn Powell · Chief Compliance Officercontrol
        since 06/2014 · owns less than 5%
      • Denis Guy Prouteau · Directorcontrol
        since 07/2013 · owns less than 5%
      Entity owners
      • Natixis North America LLC · Parent Company/Managing Member
        direct · owns 75% or more
      • Bpce · Owner
        indirect · owns 50% to 75% of Natixis
      • Natixis Global Asset Management · Owner
        indirect · owns 75% or more of Natixis Global Asset Management Participations 1
      • Natixis Global Asset Management Paricipations 1 · Owner
        indirect · owns 75% or more of Natixis US Holdings Inc
      • Natixis Sa · Owner
        indirect · owns 75% or more of Natixis Global Asset Mangement
      • Natixis Sa · Owner
        indirect · owns F of Natixis US Holdings Inc.
      • Natixis US Holdings Inc · Owner
        indirect · owns 75% or more of Natixis North America
      Related persons
      Schedule D 7.A
      Advisers that list Natixis Securities Americas LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 16 to 3
        Jan 14, 2014 to Feb 13, 2014
      • Advisory activities · 2 to 1
        Jan 14, 2014 to Feb 13, 2014
      • BD registered reps · 197 to 236
        Jan 14, 2014 to Feb 13, 2014
      • Employees · 200 to 236
        Jan 14, 2014 to Feb 13, 2014
      • Financial planning clients · 1-10 to 0
        Jan 14, 2014 to Feb 13, 2014
      • Private funds · 2 to 1
        Jan 14, 2014 to Feb 13, 2014
      • Accounts · 3 to 2
        Aug 27, 2013 to Jan 14, 2014
      • Discretionary RAUM · $683M to $57.5M
        Aug 27, 2013 to Jan 14, 2014
      • RAUM · $683M to $57.5M
        Aug 27, 2013 to Jan 14, 2014
      • Accounts · 5 to 3
        Mar 25, 2013 to May 15, 2013
      • Discretionary RAUM · $932M to $683M
        Mar 25, 2013 to May 15, 2013
      • Non-discretionary RAUM · $2.7B to $0
        Mar 25, 2013 to May 15, 2013
      • RAUM · $3.6B to $683M
        Mar 25, 2013 to May 15, 2013
      • Advisory employees · 10 to 16
        Jan 23, 2013 to Mar 25, 2013
      • BD registered reps · 125 to 197
        Jan 23, 2013 to Mar 25, 2013
      • Employees · 150 to 200
        Jan 23, 2013 to Mar 25, 2013
      • Private funds · unset to 2
        Jan 23, 2013 to Mar 25, 2013
      • Discretionary RAUM · $2.2B to $932M
        Jan 23, 2013 to Mar 25, 2013
      • Non-discretionary RAUM · $2.9B to $2.7B
        Jan 23, 2013 to Mar 25, 2013
      • RAUM · $5.0B to $3.6B
        Jan 23, 2013 to Mar 25, 2013
      • Advisory employees · unset to 10.0
        Sep 18, 2012 to Jan 2, 2013
      • BD registered reps · unset to 125.0
        Sep 18, 2012 to Jan 2, 2013
      • Employees · unset to 150.0
        Sep 18, 2012 to Jan 2, 2013
      • Advisory activities · 1 to 2
        Nov 15, 2011 to Mar 22, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 15, 2011 to Mar 22, 2012
      • Financial planning clients · 0 to 1-10
        Nov 15, 2011 to Mar 22, 2012
      • Discretionary RAUM · $5.8B to $2.2B
        Nov 15, 2011 to Mar 22, 2012
      • Non-discretionary RAUM · $0 to $2.9B
        Nov 15, 2011 to Mar 22, 2012
      • RAUM · $5.8B to $5.0B
        Nov 15, 2011 to Mar 22, 2012
      • Related bank · false to true
        Nov 15, 2011 to Mar 22, 2012
      • Succession · true to false
        Nov 15, 2011 to Mar 22, 2012
      • Succession · false to true
        Nov 7, 2011 to Nov 15, 2011
      Signals
      1 dated events
      • Natixis Securities Americas Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 15, 2011 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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