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

Ostrum Asset Management U.S., LLC

Former SEC-registered adviserNew York, New YorkCRD 171003SEC 801-79804IAPD
Latest filing Sep 11, 2020
First filing on the tape May 19, 2014 · 26 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2020
Mar 26, 2015$48.8M then
HNW client RAUM$0 as of Mar 30, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 26, 20150 then
Employees (5.A)12 as of Mar 30, 2020
Mar 26, 201513 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0offices 5 to 1
Practice profile
derived from the filing of Sep 11, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
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
      • Francis Joseph Falcone · Managing Director And Chief Operating Officercontrol
        since 01/2019 · owns less than 5%
      • Jennifer Juste · Chief Compliance Officercontrol
        since 04/2019 · owns less than 5%
      • Norman Eric Ward · Board Membercontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • Natixis Investment Managers, LLC · Member
        direct · owns 75% or more
      • Bpce · Shareholder
        indirect · owns 50% to 75% of Natixis
      • Natixis · Shareholder
        indirect · owns 75% or more of Natixis Investment Managers
      • Natixis Investment Managers · Shareholder
        indirect · owns 75% or more of Natixis Investment Managers Participations 1
      • Natixis Investment Managers Participations 1 · Member
        indirect · owns 75% or more of Natixis Investment Managers U.S. Holdings, LLC
      • Natixis Investment Managers U.S. Holdings, LLC · Member
        indirect · owns 75% or more of Natixis Investment Managers, LLC
      Related persons
      Schedule D 7.A
      Advisers that list Ostrum Asset Management U.S., LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Paris, France3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 0
        Nov 25, 2019 to Mar 30, 2020
      • Advisory employees · 33 to 9
        Nov 25, 2019 to Mar 30, 2020
      • Advisory activities · 3 to 2
        Nov 25, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 0
        Nov 25, 2019 to Mar 30, 2020
      • Employees · 50 to 12
        Nov 25, 2019 to Mar 30, 2020
      • Financial planning clients · unset to 0
        Nov 25, 2019 to Mar 30, 2020
      • Other offices · 5 to 1
        Nov 25, 2019 to Mar 30, 2020
      • Discretionary RAUM · $569M to $0
        Nov 25, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $253M to $0
        Nov 25, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $669M to $0
        Nov 25, 2019 to Mar 30, 2020
      • RAUM · $823M to $0
        Nov 25, 2019 to Mar 30, 2020
      • Wrap assets (manager) · 0.0 to unset
        Nov 25, 2019 to Mar 30, 2020
      • Wrap assets (sponsor) · 0.0 to unset
        Nov 25, 2019 to Mar 30, 2020
      • HQ city · BOSTON to NEW YORK
        Mar 27, 2019 to Apr 30, 2019
      • HQ state · MA to NY
        Mar 27, 2019 to Apr 30, 2019
      • Accounts · 17 to 18
        Apr 10, 2018 to Mar 27, 2019
      • Advisory employees · 37 to 33
        Apr 10, 2018 to Mar 27, 2019
      • Business name · NATIXIS ASSET MANAGEMENT U.S., LLC to OSTRUM ASSET MANAGEMENT U.S., LLC
        Apr 10, 2018 to Mar 27, 2019
      • Employees · 46 to 50
        Apr 10, 2018 to Mar 27, 2019
      • Legal name · NATIXIS ASSET MANAGEMENT U.S., LLC to OSTRUM ASSET MANAGEMENT U.S., LLC
        Apr 10, 2018 to Mar 27, 2019
      • Other offices · 3 to 5
        Apr 10, 2018 to Mar 27, 2019
      • Discretionary RAUM · $326M to $569M
        Apr 10, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $238M to $253M
        Apr 10, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $434M to $669M
        Apr 10, 2018 to Mar 27, 2019
      • RAUM · $565M to $823M
        Apr 10, 2018 to Mar 27, 2019
      • Accounts · 16 to 17
        Sep 29, 2017 to Mar 30, 2018
      • Advisory employees · 22 to 37
        Sep 29, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Sep 29, 2017 to Mar 30, 2018
      • Employees · 45 to 46
        Sep 29, 2017 to Mar 30, 2018
      • Other offices · unset to 3.0
        Sep 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $191M to $326M
        Sep 29, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $221M to $238M
        Sep 29, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      Signals
      16 dated events
      • Ibrahima Kobar (Board Member, Chairman) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2020-07-13, absent 2020-09-11)
        Sep 11, 2020 · Control person left · inference
      • Francis Joseph Falcone (Managing Director And Chief Operating Officer) appeared on Schedule A of Ostrum Asset Management U.S., Llc
        Sep 11, 2020 · Control person joined · fact
      • Thomas Brian Yorke (Chief Executive Officer And Board Member) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2020-03-30, absent 2020-07-13)
        Jul 13, 2020 · Control person left · inference
      • Ostrum Asset Management U.S., Llc reported RAUM $0, down 100% from $822.6M (2019-11-25 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Ibrahima Kobar (Board Member, Chairman) appeared on Schedule A of Ostrum Asset Management U.S., Llc
        Nov 25, 2019 · Control person joined · fact
      • Benoit Matthieu Duncan (Board Member, Chairman) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2019-08-12, absent 2019-11-18)
        Nov 18, 2019 · Control person left · inference
      • Thomas Brian Yorke (Chief Executive Officer) appeared on Schedule A of Ostrum Asset Management U.S., Llc
        Aug 12, 2019 · Control person joined · fact
      • Amber Dawn Baker (Chief Compliance Officer) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2019-03-27, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • Dirk Jens Peers (Board Member, Chief Investment Officer Mirova Division) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2019-03-27, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • Jennifer Juste (Chief Compliance Officer) appeared on Schedule A of Ostrum Asset Management U.S., Llc
        Apr 30, 2019 · Control person joined · fact
      • Lawrence David Giunta (Director) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2018-04-10, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • Norman Eric Ward (Board Member) appeared on Schedule A of Ostrum Asset Management U.S., Llc
        Mar 27, 2019 · Control person joined · fact
      • Lionel Emmanuel Bourdeix (Director) no longer on Schedule A of Ostrum Asset Management U.S., Llc (listed 2018-04-10, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • Ostrum Asset Management U.S., Llc reported RAUM $822.6M, up 46% from $564.5M (2018-04-10 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      • Ostrum Asset Management U.S., Llc reported RAUM $564.5M, up 37% from $411.8M (2017-09-29 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • Natixis Asset Management U.S., Llc filed its initial SEC registration (Form ADV)
        May 19, 2014 · 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