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 Smith Breeden LLC

Former SEC-registered adviserDurham, North CarolinaCRD 169589SEC 801-78776IAPD
Latest filing Jul 28, 2017
First filing on the tape Oct 30, 2013 · 12 filings
RAUM
$14B
reported, Item 5.F
Discretionary
99%
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
75
27 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$608M gross assets
History
12 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2017
Mar 31, 2014$9.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 31, 20140 then
Employees (5.A)75 as of Mar 31, 2017
Mar 31, 201466 then
Private funds8 as of Mar 31, 2017
Mar 31, 201411 then
RAUM +23% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2017; 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
$290MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
+23%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, hourly, fixed fees, 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, publications, otherreportedItem 5.G
Custody
$231M, 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)
  • 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)
  • 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
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
50reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$231M for 2 clientsreported
Compensation
% of AUM, fixed, hourly, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Amundi Volatility World Equity, LLCno longer reportedHedge Fund$43.8M10Mar 30, 2012
      Pine Mountain Cdo Ltdno longer reportedSecuritized Asset Fund$32.0M1Apr 2, 2012
      Pine Mountain Cdo II Ltdno longer reportedSecuritized Asset Fund$10.3M1Apr 2, 2012
      Pine Mountain Cdo III Ltdno longer reportedSecuritized Asset Fund$1.9M1Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Rothschild Daniel Adler · Executive Vice President/Director Of The Investment Managment Groupcontrol
        since 01/2009 · owns less than 5%
      • Carol Amy Arganbright · Executive Vice President/Director Of Operationscontrol
        since 01/2006 · owns less than 5%
      • Etienne Patrice Blanc · Chief Operating Officer/Directorcontrol
        since 12/2015 · owns less than 5%
      • Maurice Pascal Blanque · Directorcontrol
        since 10/2013 · owns less than 5%
      • Luc Dominique Couasse · Managing Director/Chief Of Staffcontrol
        since 02/2017 · owns less than 5%
      • Henri Bernard De Wit · Directorcontrol
        since 10/2013 · owns less than 5%
      • Alcuin Stephen Eason · Director/Senior Executive Vice Presidentcontrol
        since 04/1988 · owns less than 5%
      • Philippe Garreau · Managing Director/Chief Risk Officercontrol
        since 02/2017 · owns less than 5%
      • Marie Susan Gradascevic · Managing Director/Chief Marketing Officercontrol
        since 02/2016 · owns less than 5%
      • Kathryn Aimee Harmelink · Managing Director Of Legal & Compliance/Chief Compliance Officer/General Counsel/Assistant Secretarycontrol
        since 04/2012 · owns less than 5%
      • Penafiel Jennifer Hollingsworth · Managing Director/Chief Financial Officer/Secretarycontrol
        since 12/2010 · owns less than 5%
      • Lisa Jones · Chief Executive Officer/Chairman/Directorcontrol
        since 07/2017 · owns less than 5%
      • Robert Patrick Pagni · Directorcontrol
        since 10/2013 · owns less than 5%
      • Barker John Sprow · Executive Vice President/Senior Investment Professionalcontrol
        since 01/2009 · owns less than 5%
      • James Kenneth Taubes · Chief Investment Officer/Directorcontrol
        since 07/2017 · owns less than 5%
      • Clifford Daniel Dektar · Managing Director
        since 08/1987 · owns less than 5%
      • Michael Jonathan Duensing · Managing Director
        since 10/2013 · owns less than 5%
      Entity owners
      • Amundi USA, Inc. · Member
        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
      • Credit Agricole Sa · Shareholder
        indirect · owns 50% to 75% of Amundi
      • Sas Rue La Boetie · Shareholder
        indirect · owns 50% to 75% of Credit Agricole Sa
      • Chartreuse Acres LLC · Incentive Plan
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list Amundi Smith Breeden LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 51 to 50
        Mar 31, 2016 to Mar 31, 2017
      • Advisory employees · 28 to 27
        Mar 31, 2016 to Mar 31, 2017
      • BD registered reps · 18 to 11
        Mar 31, 2016 to Mar 31, 2017
      • Assets in custody · $118M to $231M
        Mar 31, 2016 to Mar 31, 2017
      • Employees · 80 to 75
        Mar 31, 2016 to Mar 31, 2017
      • Private funds · 12 to 8
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $12B to $14B
        Mar 31, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $90.7M to $171M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $12B to $14B
        Mar 31, 2016 to Mar 31, 2017
      • Related bank · true to false
        Mar 31, 2016 to Mar 31, 2017
      • Accounts · 47 to 51
        Dec 7, 2015 to Mar 30, 2016
      • Advisory employees · 29 to 28
        Dec 7, 2015 to Mar 30, 2016
      • BD registered reps · 13 to 18
        Dec 7, 2015 to Mar 30, 2016
      • Assets in custody · $49.9M to $118M
        Dec 7, 2015 to Mar 30, 2016
      • Employees · 89 to 80
        Dec 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $11B to $12B
        Dec 7, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $91.6M to $90.7M
        Dec 7, 2015 to Mar 30, 2016
      • RAUM · $11B to $12B
        Dec 7, 2015 to Mar 30, 2016
      • Accounts · 39 to 47
        Feb 10, 2015 to Mar 31, 2015
      • Advisory employees · 21 to 29
        Feb 10, 2015 to Mar 31, 2015
      • Advisory activities · 5 to 7
        Feb 10, 2015 to Mar 31, 2015
      • BD registered reps · 9 to 13
        Feb 10, 2015 to Mar 31, 2015
      • Assets in custody · $8.9M to $49.9M
        Feb 10, 2015 to Mar 31, 2015
      • Employees · 66 to 89
        Feb 10, 2015 to Mar 31, 2015
      • Private funds · 11 to 12
        Feb 10, 2015 to Mar 31, 2015
      • Discretionary RAUM · $9.8B to $11B
        Feb 10, 2015 to Mar 31, 2015
      • Non-discretionary RAUM · $0 to $91.6M
        Feb 10, 2015 to Mar 31, 2015
      • RAUM · $9.8B to $11B
        Feb 10, 2015 to Mar 31, 2015
      • Accounts · 34 to 39
        Jan 9, 2014 to Mar 31, 2014
      • Advisory employees · 19 to 21
        Jan 9, 2014 to Mar 31, 2014
      • BD registered reps · 8 to 9
        Jan 9, 2014 to Mar 31, 2014
      • Assets in custody · $10.1M to $8.9M
        Jan 9, 2014 to Mar 31, 2014
      • Employees · 56 to 66
        Jan 9, 2014 to Mar 31, 2014
      • Discretionary RAUM · $8.2B to $9.8B
        Jan 9, 2014 to Mar 31, 2014
      • RAUM · $8.2B to $9.8B
        Jan 9, 2014 to Mar 31, 2014
      • Succession · true to false
        Oct 30, 2013 to Nov 14, 2013
      Signals
      2 dated events
      • Amundi Smith Breeden Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 30, 2013 · Succession (Item 4) · fact
      • Amundi Smith Breeden Llc filed its initial SEC registration (Form ADV)
        Oct 30, 2013 · First SEC registration · 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