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 Pioneer Institutional Asset Management, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 138756SEC 801-66395IAPD
Latest filing Nov 3, 2020
First filing on the tape Jan 17, 2012 · 37 filings
RAUM
$18B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.3%
$48.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
213
106 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$797M gross assets
History
37 filings and snapshots on the tape
RAUM$18B as of Mar 30, 2020
Mar 30, 2012$4.3B then
HNW client RAUM$48.5M as of Mar 30, 2020
Mar 29, 2018$40.0M then
State-registered IARs (5.B.3)88 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)213 as of Mar 30, 2020
Mar 28, 2013137 then
Private funds5 as of Mar 30, 2020
Mar 30, 20122 then
RAUM +2.8% over the last fiscal year+49% a year over threeIARs 87 to 88
Practice profile
derived from the filing of Nov 3, 2020; every figure names its basis
RAUM per advisor
$204MderivedRAUM 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
$171MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
44.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2.8%derivedbetween the last two annual amendments
Advisor growth, one year
+1.1%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 advisers, publicationsreportedItem 5.G
Custody
$630M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$4.4B28%
  • Pooled investment vehicles$3.8B24%
  • Pension and profit-sharing plans$3.7B23%
  • Banks and thrifts$1.9B12%
  • Insurance companies$1.1B6.9%
  • Charitable organizations$579M3.6%
  • Investment companies$471M2.9%
  • High-net-worth individuals$48.5M0.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
105reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$630M for 2 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Carolina Institutional Short Duration FundHedge Fund$57.1M7Apr 2, 2012
    Carolina Institutional Short Duration Master Ltd.Hedge Fund$57.1M10Apr 2, 2012
    Metropolitan Life Insurance Company On Behalf Of Its Seperate Account No. 389Hedge Fund$11.5M5Apr 2, 2012
    Carolina Institutional Short Duration Fund Ltd.Hedge Fund$03Apr 2, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Etienne Patrice Blanc · Chief Operations Officer, Directorcontrol
      since 07/2017 · owns less than 5%
    • Maurice Pascal Blanque · Directorcontrol
      since 07/2017 · owns less than 5%
    • Dominique Carrel-Billiard · Directorcontrol
      since 07/2017 · owns less than 5%
    • Joseph Terrence Cullen · Chief Legal Officercontrol
      since 06/2010 · owns less than 5%
    • Henri Bernard De Wit · Directorcontrol
      since 07/2017 · owns less than 5%
    • Matthew Gregg Dooling · Chief Financial Officercontrol
      since 09/2008 · owns less than 5%
    • Lisa Jones · President, Chairman & Chief Executive Officer, Directorcontrol
      since 08/2014 · owns less than 5%
    • Michael John Malone · Chief Compliance Officercontrol
      since 09/2018 · owns less than 5%
    • James Kenneth Taubes · Chief Investment Officer, Directorcontrol
      since 07/2017 · owns less than 5%
    Entity owners
    • Amundi Pioneer Investment Management USA Inc. · Shareholder
      direct · owns 75% or more
    • Amundi · Shareholder
      indirect · owns 75% or more of Amundi Asset Management
    • Amundi Asset Management · Shareholder
      indirect · owns 75% or more of Amundi USA Inc
    • Amundi USA, Inc. · Member
      indirect · owns 75% or more of Amundi Pioneer Asset Management USA Inc.
    • Credit Agricole Sa · Shareholder
      indirect · owns 75% or more of Amundi
    • Sas Rue La Boetie · Shareholder
      indirect · owns 50% to 75% of Credit Agricole Sa
    Related persons
    Schedule D 7.A
    • Abc-Ca Fund Management Co. Ltd.
      investment advisern
    • Amundi
      y
    • Amundi (Uk) Limited
      investment advisern
    • Amundi Alternative Investments Ireland Ltd.
      investment advisern
    • Amundi Alternative Investments Sas
      investment advisern
    • Amundi Asset Management
      investment advisery
    • Amundi Asset Management Australia Limited
      investment advisern
    • Amundi Austria Gmbh
      investment advisern
    • Amundi Canada Inc.
      broker-dealerinvestment advisern
    • Amundi Czech Republic Asset Management, A.S
      investment advisern
    • Amundi Deutschland Gmbh
      investment advisern
    • Amundi Distributors USA, LLC
      broker-dealern
    • Amundi Global Servicing
      investment advisern
    • Amundi Hellas Asset Management A.E.P.E.Y.
      investment advisern
    • Amundi Hong Kong Ltd
      investment advisern
    • Amundi Iberia S.G.I.I.C., S.A.
      investment advisern
    • Amundi Intermediation
      broker-dealern
    • Amundi Investment Fund Management Private Limited Company
      investment advisern
    • Amundi Ireland Ltd
      investment adviserpooled vehicle sponsorn
    • Amundi Islamic Malaysia Sdn Bhd
      investment advisern
    • Amundi Japan Ltd.
      investment advisern
    • Amundi Luxembourg S.A.
      investment advisern
    • Amundi Malaysia Sdn Bhd
      investment advisern
    • Amundi Asset Management US, Inc.
      investment advisernRAUM $120B
    • Amundi Pioneer Distributor, Inc.
      broker-dealern
    • Amundi Singapore Limited
      broker-dealerinvestment advisern
    • Amundi Societa Di Gestione Del Risparmio S.P.A.
      investment advisern
    • Amundi Suisse Sa
      investment advisern
    • Amundi Taiwan Limited
      investment advisern
    • Bft Gestion
      investment advisern
    Advisers that list Amundi Pioneer Institutional Asset Management, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Durham, NC27 employees
    What changed
    consecutive filings, newest first
    • Accounts · 113 to 105
      Dec 18, 2019 to Mar 30, 2020
    • Advisory employees · 103 to 106
      Dec 18, 2019 to Mar 30, 2020
    • BD registered reps · 76 to 88
      Dec 18, 2019 to Mar 30, 2020
    • Pension plan clients · 9 to 8
      Dec 18, 2019 to Mar 30, 2020
    • Pooled vehicle clients · 26 to 24
      Dec 18, 2019 to Mar 30, 2020
    • Assets in custody · $532M to $630M
      Dec 18, 2019 to Mar 30, 2020
    • Employees · 284 to 213
      Dec 18, 2019 to Mar 30, 2020
    • State-registered IARs · 87 to 88
      Dec 18, 2019 to Mar 30, 2020
    • Private funds · 9 to 5
      Dec 18, 2019 to Mar 30, 2020
    • Discretionary RAUM · $17B to $17B
      Dec 18, 2019 to Mar 30, 2020
    • HNW RAUM · $42.4M to $48.5M
      Dec 18, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $527M to $723M
      Dec 18, 2019 to Mar 30, 2020
    • Pension RAUM · $3.1B to $3.7B
      Dec 18, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · $3.3B to $3.8B
      Dec 18, 2019 to Mar 30, 2020
    • RAUM · $17B to $18B
      Dec 18, 2019 to Mar 30, 2020
    • Accounts · 115 to 113
      Sep 4, 2018 to Mar 29, 2019
    • Advisory employees · 136 to 103
      Sep 4, 2018 to Mar 29, 2019
    • BD registered reps · 110 to 76
      Sep 4, 2018 to Mar 29, 2019
    • Pension plan clients · 13 to 9
      Sep 4, 2018 to Mar 29, 2019
    • Pooled vehicle clients · 25 to 26
      Sep 4, 2018 to Mar 29, 2019
    • Assets in custody · $696M to $532M
      Sep 4, 2018 to Mar 29, 2019
    • Employees · 267 to 284
      Sep 4, 2018 to Mar 29, 2019
    • State-registered IARs · 96 to 87
      Sep 4, 2018 to Mar 29, 2019
    • Discretionary RAUM · $18B to $17B
      Sep 4, 2018 to Mar 29, 2019
    • HNW RAUM · $40.0M to $42.4M
      Sep 4, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $652M to $527M
      Sep 4, 2018 to Mar 29, 2019
    • Pension RAUM · $5.1B to $3.1B
      Sep 4, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $3.9B to $3.3B
      Sep 4, 2018 to Mar 29, 2019
    • RAUM · $19B to $17B
      Sep 4, 2018 to Mar 29, 2019
    • Accounts · 113 to 115
      Jan 9, 2018 to Mar 29, 2018
    • Advisory employees · 146 to 136
      Jan 9, 2018 to Mar 29, 2018
    • BD registered reps · 116 to 110
      Jan 9, 2018 to Mar 29, 2018
    • Pension plan clients · unset to 13.0
      Jan 9, 2018 to Mar 29, 2018
    • Pooled vehicle clients · unset to 25.0
      Jan 9, 2018 to Mar 29, 2018
    • Assets in custody · $701M to $696M
      Jan 9, 2018 to Mar 29, 2018
    • Employees · 199 to 267
      Jan 9, 2018 to Mar 29, 2018
    • State-registered IARs · 105 to 96
      Jan 9, 2018 to Mar 29, 2018
    • Discretionary RAUM · $18B to $18B
      Jan 9, 2018 to Mar 29, 2018
    • HNW RAUM · unset to 39962649.0
      Jan 9, 2018 to Mar 29, 2018
    • Non-discretionary RAUM · $788M to $652M
      Jan 9, 2018 to Mar 29, 2018
    Signals
    1 dated events
    • Amundi Pioneer Institutional Asset Management, Inc. reported RAUM $18.5B, up 188% from $6.4B (2017-11-28 to 2018-01-09)
      Jan 9, 2018 · RAUM change · derived
    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