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
Candriam France S.A.S.
Latest filing Mar 31, 2022
First filing on the tape Oct 20, 2014 · 28 filings
RAUM
$35B
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
182
66 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$1.0B gross assets
History
28 filings and snapshots on the tape
RAUM$35B as of Mar 31, 2022
Mar 26, 2015$9.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 26, 20150 then
Employees (5.A)182 as of Mar 31, 2022
Mar 26, 2015133 then
Private funds6 as of Mar 31, 2022
Mar 26, 20152 then
RAUM +9.9% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
- $422MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%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
- +9.9%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 vehicles, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$24B71%
- Insurance companies$4.9B14%
- Corporations and businesses$4.4B13%
- Pension and profit-sharing plans$789M2.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 82reported
- Financial planning clients
- n/areported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Candriam Absolute Return Equity Market Neutral | Hedge Fund | $233M | 89 | Mar 30, 2020 |
| Candriam Absolute Return Long Short Digital Equity | Hedge Fund | $45.2M | 27 | Jan 3, 2017 |
| Candriam Alternative Equity Market Neutralno longer reported | Hedge Fund | $26.2M | 6 | May 24, 2016 |
Owners and control persons
Schedule A and B, latest filing
- (Nmn) Naim Abou-Jaoude · Member Of The Strategic Committee And Chief Executive Officer Of Candriamcontrolsince 03/2007 · owns less than 5%
- Marie Henri Fabrice Cuchet · Chief Operations Officer Ofcandriamcontrolsince 01/2021 · owns less than 5%
- Michael John Grady · Member Of The Strategic Committeecontrolsince 02/2014 · owns less than 5%
- Francis Michael Harte · Member Of The Strategic Committeecontrolsince 04/2019 · owns less than 5%
- (Nmn) Yie-Hsin Hung · Chairman Of The Strategic Committeecontrolsince 02/2014 · owns less than 5%
- Marie Pierre Jean-Yves Maldague · Member Of The Strategic Committee And Chief Financial Officer Of Candriamcontrolsince 05/2009 · owns less than 5%
- Ramsey Anthony Malloy · Director And Member Of The Audit Committeecontrolsince 12/2017 · owns less than 5%
- Rene Stephane Pierre-Guillaume Veaux · Chief Compliance Officer, Global Head Of Legal And Compliance Of Candriamcontrolsince 01/2012 · owns less than 5%
- Bruno Michel Gonzague Druart · Global Head Of Compliancesince 02/2022 · owns less than 5%
Entity owners
- Candriam Luxembourg S.C.A. · Sole Member/Direct & Sole Interest Holderdirect · owns 75% or more
- Candriam Group · Indirect Interest Holderindirect · owns 75% or more of Candriam Luxembourg S.C.A.
- Candriam Luxco S.A.R.L. · Indirect Interest Holderindirect · owns F of Candriam Luxembourg S.C.A.
- Minority Shareholders · Indirect Interest Holderindirect · owns F of Candriam Luxembourg S.C.A.
- New York Life Insurance Company · Indirect Interest Holderindirect · owns 75% or more of New York Life Investment Management Holdings LLC
- New York Life Investment Management Holdings II International · Indirect Interest Holderindirect · owns 75% or more of Candriam Group
- New York Life Investment Management Holdings International. · Indirect Interest Holderindirect · owns 75% or more of New York Life Investment Management Holdings II International
- New York Life Investment Management Holdings LLC · Indirect Interest Holderindirect · owns 75% or more of New York Life Investment Management Holdings International.
Related persons
Schedule D 7.A
- Apogem Capital LLCinvestment advisernRAUM $44B
- Ausbil Investment Management Limitedinvestment adviserpooled vehicle sponsornRAUM $14B
- Candriam Belgium S.A.investment adviserbankpooled vehicle sponsoryRAUM $123B
- Candriam S.C.A.investment adviserbankpooled vehicle sponsoryRAUM $155B
- Candriam Switzerland LLCinvestment advisern
- Cigna Life Insurance Company Of New Yorkreal estaten
- Eagle Strategies LLCinvestment advisernRAUM $32B
- Flatiron Rr LLC, Manager Seriesinvestment advisernRAUM $1.2B
- Indexiq Advisors LLCinvestment adviserbanknRAUM $10B
- Kartesia Management Sarlinvestment advisern
- Life Insurance Company Of North Americareal estaten
- Mackay Shields Europe Investment Management Limitedinvestment advisern
- Mackay Shields LLCinvestment adviserbankpooled vehicle sponsornRAUM $160B
- Mackay Shields Uk Llpinvestment advisern
- New York Life Enterprises LLCreal estaten
- New York Life Insurance And Annuity Corporationbankreal estaten
- New York Life Insurance Companybankreal estatey
- New York Life Investment Management Asia Limitedinvestment advisern
- New York Life Investment Management LLCinvestment adviseryRAUM $121B
- New York Life Trust Companybankn
- Nyl Investors LLCinvestment adviserbankpooled vehicle sponsornRAUM $329B
- Nylife Distributors LLCbroker-dealern
- Nylife Insurance Company Of Arizonareal estaten
- Nylife Securities LLCbroker-dealerreal estaten
- Nylink Insurance Agency Inc.real estaten
- Seguros Monterrey New York Life, S.A. De C.V.real estaten
- Tristan Capital Partnersinvestment advisern
Advisers that list Candriam France S.A.S. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 81 to 82Aug 31, 2021 to Mar 31, 2022
- Advisory employees · 58 to 66Aug 31, 2021 to Mar 31, 2022
- Pension plan clients · 1 to 4Aug 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 53 to 51Aug 31, 2021 to Mar 31, 2022
- Employees · 163 to 182Aug 31, 2021 to Mar 31, 2022
- Private funds · 5 to 6Aug 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $31B to $35BAug 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $5.7MAug 31, 2021 to Mar 31, 2022
- Pension RAUM · $171M to $789MAug 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $23B to $24BAug 31, 2021 to Mar 31, 2022
- RAUM · $31B to $35BAug 31, 2021 to Mar 31, 2022
- Private funds · 4 to 5May 28, 2021 to Aug 31, 2021
- Accounts · 85 to 81Sep 24, 2020 to Mar 31, 2021
- Advisory employees · 57 to 58Sep 24, 2020 to Mar 31, 2021
- Corporate clients · 16 to 13Sep 24, 2020 to Mar 31, 2021
- Pension plan clients · unset to 1.0Sep 24, 2020 to Mar 31, 2021
- Employees · 167 to 163Sep 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $26B to $31BSep 24, 2020 to Mar 31, 2021
- Pension RAUM · $117M to $171MSep 24, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $19B to $23BSep 24, 2020 to Mar 31, 2021
- RAUM · $26B to $31BSep 24, 2020 to Mar 31, 2021
- Accounts · 95 to 85May 13, 2019 to Mar 30, 2020
- Pooled vehicle clients · 58 to 53May 13, 2019 to Mar 30, 2020
- Discretionary RAUM · $23B to $26BMay 13, 2019 to Mar 30, 2020
- Pension RAUM · $228M to $117MMay 13, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $15B to $19BMay 13, 2019 to Mar 30, 2020
- RAUM · $23B to $26BMay 13, 2019 to Mar 30, 2020
- Accounts · 74 to 95Sep 27, 2018 to Mar 31, 2019
- Advisory employees · 47 to 57Sep 27, 2018 to Mar 31, 2019
- Advisory activities · 5 to 4Sep 27, 2018 to Mar 31, 2019
- Corporate clients · unset to 16.0Sep 27, 2018 to Mar 31, 2019
- Pooled vehicle clients · 48 to 58Sep 27, 2018 to Mar 31, 2019
- Employees · 157 to 167Sep 27, 2018 to Mar 31, 2019
- Discretionary RAUM · $19B to $23BSep 27, 2018 to Mar 31, 2019
- Pension RAUM · $246M to $228MSep 27, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $17B to $15BSep 27, 2018 to Mar 31, 2019
- RAUM · $19B to $23BSep 27, 2018 to Mar 31, 2019
- Advisory employees · 46 to 47Sep 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 48.0Sep 28, 2017 to Mar 29, 2018
- Employees · 148 to 157Sep 28, 2017 to Mar 29, 2018
Signals
7 dated events
- Georges Pierre Ernst (Chairman Of The Effective Management And Chief Operations Officer Of Candriam) no longer on Schedule A of Candriam France S.A.S. (listed 2020-09-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Martin Joel Steinberg (Senior Vice President, Interim Chief Financial Officer & Chief Risk Officer) no longer on Schedule A of Candriam France S.A.S. (listed 2020-09-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Marie Henri Fabrice Cuchet (Chief Operations Officer Ofcandriam) appeared on Schedule A of Candriam France S.A.S.Mar 31, 2021 · Control person joined · fact
- Francis Michael Harte (Member Of The Strategic Committee) appeared on Schedule A of Candriam France S.A.S.Mar 30, 2020 · Control person joined · fact
- Thomas John Fleurant (Member Of The Strategic Committee) no longer on Schedule A of Candriam France S.A.S. (listed 2019-03-31, absent 2019-05-13)May 13, 2019 · Control person left · inference
- Martin Joel Steinberg (Senior Vice President, Interim Chief Financial Officer & Chief Risk Officer) appeared on Schedule A of Candriam France S.A.S.May 13, 2019 · Control person joined · fact
- Candriam S.A. (France) filed its initial SEC registration (Form ADV)Oct 20, 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