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 Japan Ltd.

Former SEC-registered adviserTokyo, CRD 110712SEC 801-17987IAPD
Latest filing Dec 9, 2015
First filing on the tape Feb 27, 2012 · 15 filings
RAUM
$40B
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
209
52 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$40B as of Jun 29, 2015
Jun 29, 2012$33B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2015
Jun 29, 20120 then
Employees (5.A)209 as of Jun 29, 2015
Jun 28, 2013207 then
Private funds: no history
RAUM +11% over the last fiscal year+6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 9, 2015; 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
$131MderivedRAUM 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
+11%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
306reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Michel Laurent Bertiau · Directorcontrol
        since 12/2010 · owns less than 5%
      • Julien Fontaine · Representative Director & Presidentcontrol
        since 04/2015 · owns less than 5%
      • Jean-Yves Glain · Directorcontrol
        since 06/2014 · owns less than 5%
      • Fathi Jerfel · Directorcontrol
        since 12/2010 · owns less than 5%
      • Akio Mizuta · Corporate Auditorcontrol
        since 06/2011 · owns less than 5%
      • Hirotaka Okada · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • Masahiko Sasaki · Director & Executive Vice-Presidentcontrol
        since 08/2011 · owns less than 5%
      • Nicolas Sauvage · Representative Director & Executive Vice-Presidentcontrol
        since 04/2015 · owns less than 5%
      Entity owners
      • Amundi Japan Holding Ltd. · Parent Of The Applicant
        direct · owns 75% or more
      • Amundi · Parent Of Amundi Asset Management
        indirect · owns 75% or more of Amundi Asset Management
      • Amundi Asset Management · Parent Of Amundi Japan Holding Ltd.
        indirect · owns 75% or more of Amundi Japan Holding Ltd.
      • Credit Agricole S.A. · Shareholder Of Amundi
        indirect · owns 75% or more of Amundi
      Related persons
      Schedule D 7.A
      • Amundi
        y
      • Amundi Asset Management
        investment advisery
      • Amundi Smith Breeden LLC
        investment adviserbanknRAUM $14B
      • Credit Agricole Sa
        y
      Advisers that list Amundi Japan Ltd. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 284 to 306
        May 20, 2015 to Jun 29, 2015
      • Advisory employees · 55 to 52
        May 20, 2015 to Jun 29, 2015
      • Employees · 202 to 209
        May 20, 2015 to Jun 29, 2015
      • Discretionary RAUM · $36B to $40B
        May 20, 2015 to Jun 29, 2015
      • Non-discretionary RAUM · $33.6M to $28.8M
        May 20, 2015 to Jun 29, 2015
      • RAUM · $36B to $40B
        May 20, 2015 to Jun 29, 2015
      • Accounts · 322 to 284
        Dec 18, 2013 to Jun 30, 2014
      • Advisory employees · 53 to 55
        Dec 18, 2013 to Jun 30, 2014
      • Employees · 207 to 202
        Dec 18, 2013 to Jun 30, 2014
      • Discretionary RAUM · $35B to $36B
        Dec 18, 2013 to Jun 30, 2014
      • Non-discretionary RAUM · $49.2M to $33.6M
        Dec 18, 2013 to Jun 30, 2014
      • RAUM · $35B to $36B
        Dec 18, 2013 to Jun 30, 2014
      • Accounts · 350 to 322
        Jul 12, 2012 to Jun 28, 2013
      • Advisory employees · unset to 53.0
        Jul 12, 2012 to Jun 28, 2013
      • Employees · unset to 207.0
        Jul 12, 2012 to Jun 28, 2013
      • Discretionary RAUM · $33B to $35B
        Jul 12, 2012 to Jun 28, 2013
      • Non-discretionary RAUM · $70.3M to $49.2M
        Jul 12, 2012 to Jun 28, 2013
      • RAUM · $33B to $35B
        Jul 12, 2012 to Jun 28, 2013
      • Related bank · false to true
        Jul 12, 2012 to Jun 28, 2013
      • Accounts · 362 to 350
        Apr 2, 2012 to Jun 29, 2012
      • Financial planning clients · unset to 0
        Apr 2, 2012 to Jun 29, 2012
      • Discretionary RAUM · $34B to $33B
        Apr 2, 2012 to Jun 29, 2012
      • Non-discretionary RAUM · $142M to $70.3M
        Apr 2, 2012 to Jun 29, 2012
      • RAUM · $34B to $33B
        Apr 2, 2012 to Jun 29, 2012
      Signals
      No event on the tape.
      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