Axa Investment Managers Inc (Greenwich)

Name: Axa Investment Managers Inc
Address: 100 West Putnam Avenue, Greenwich, CT, 06830
Telephone: 203-983-4200

Axa Investment Managers Inc is a large advisory firm based in Greenwich. It manages $66.25 billion of regulatory assets for 157 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Connecticut, and Florida.

Axa Investment Managers provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Axa Investment Managers: assets under management

The assets under management (AUM) of Axa Investment Managers Inc is $66.25 billion. The firm's AUM has grown by 6878% since the beginning of its operation, and $61.14 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $65.44 billion in discretionary accounts and $811.26 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $422.18 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $405.63 million.

Axa Investment Managers has custody of $780.98 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-investment grade corporate bonds the most. They account for 26% of the total AUM. The second-largest asset type is derivatives, which make up 11% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Axa Investment Managers Inc for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jennifer Rosalind Paterson serves?

The firm provides services to investment companies, other investment advisers, and pooled investment vehicles. The largest group of clients of Jennifer Rosalind Paterson is other investment advisers with 10 clients and $57.88 billion of assets under management. Among the 10 most similar advisory firms, Axa Investment Managers has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $64.24 billion for 29 clients. 72% of the firm’s clients are foreign persons or businesses.

Axa Investment Managers also advises several private funds. Namely, three hedge funds and thirteen securitized asset funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $5,000,000.

Careers at Axa Investment Managers Inc

The company employs 87 people that are either part- or full-time employees. 62 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Jennifer Rosalind Paterson has been acting as President since 1 Apr 2004. Chris Brown joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nicolas Moreau	Director and chairman	1 Feb 1999	Other	4413741
Axa Im Rose Inc	Shareholder	1 Jun 2001	75% - 100%	22-3624513
Robert Kyprianou	Director and president	1 Jul 2001	Other	2437399
Edward Harvey Lyman	Director	1 Jul 2001	Other	4376523
Robin Douglas Clark	Alternate director to r kyprianou	1 Aug 2001	Other	4849619
Douglas Taylor Healy	Vice president	1 Sep 2003	Other	4386384
Frederick Paul Feuerherm	Vice president	1 Sep 2003	Other	4370500
Hannah Hardert Strasser	Vice president	1 Sep 2003	Other	1212683
Jennifer Rosalind Paterson	Director	1 Apr 2004	Other	4849618
Domenico Natalino De Micco	Chief operating officer	1 Apr 2004	Other	4849792
Robin Douglas Clark	Chief compliance officer	1 Aug 2004	Other	4849619
Stephane Francois Prunet	Director	1 Apr 2005	Other	4778213
Nathalie Boullefort Fulconis	Director	1 Apr 2005	Other	4942293
Paul Thomas Griffiths	Director and president	1 Jan 2006	Other	4373949
Laurent Christian Clamagirand	Director	1 Apr 2006	Other	5152637
David Fourgoux	Chief operating officer	1 Jul 2006	Other	5189202
Dominique Carrel Billiard	Chairman and director	1 Jul 2006	Other	4838411
David Anthony York	Chief compliance officer	1 Mar 2007	Other	4759677
Emmanuel Marie Jacques Vercoustre	Director	1 Apr 2007	Other	5390699
Margaret Theodora Zemek	Director	1 Apr 2008	Other	1227298
David Isaac Held	Chief compliance officer	1 Jan 2010	Other	5765381
Gautier Ripert	Chief operating officer	1 Jun 2010	Other	5907779
Christophe Coquema	Director	1 Nov 2011	Other	6034954
Xavier Thomin	Chief executive officer	1 Oct 2012	Other	6116887
Travis Martin Pauley	Chief compliance officer	1 Jan 2013	Other	2293702
Marcello Arona	Chief financial officer	1 Dec 2013	Other	6286552
Marcello (No Middle Name) Arona	Chief financial officer	1 Dec 2013	Other	6286552
Joseph Pinto	Director	1 Mar 2014	Other	105299
Joseph Gilou Pinto	Director	1 Mar 2014	Other	6287534
Jurgen Frietsch	Chief operating officer	1 Jun 2014	Other	6314720
Andrea Rossi	Chairman and director	1 Oct 2014	Other	6287517
Paolo Andrea Rossi	Chairman and director	1 Oct 2014	Other	6287517
David Atterbury	Chief operating officer	1 Feb 2015	Other	6047428
David Paul Atterbury	Chief operating officer	1 Feb 2015	Other	6047428
Axa Im Holding Us Inc	Shareholder	1 Jan 2016	75% - 100%	22-3624509
Barbara Anne Fallon Walsh	Director	1 Aug 2016	Other	2718131
Chris Brown	Chief compliance officer	1 Jan 2017	Other	6927952
John Christopher Brown	Chief compliance officer	1 Jan 2017	Other	6927952

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Axa Sa	Shareholder	1 Feb 1999	75% - 100%	foreign entity
Axa Im Holding Us Inc	Shareholder	1 Jun 2001	75% - 100%	22-3624509
Axa Investment Managers Sa	Shareholder	1 Jun 2001	75% - 100%	foreign entity
Axa Im Holdings Us Inc	Shareholder	1 Jun 2001	75% - 100%	22-3624509

Based in Greenwich

The principal office where Axa Investment Managers Inc performs its advisory services is located at 100 West Putnam Avenue, Greenwich, CT 06830, which is also the mailing address of the firm. An additional office of the firm is in Old Greenwich, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-983-4200 or by fax 203-983-4247. The normal business hours are 9.00am to 5.00pm on Monday - Friday. You can find more information about the New York firm at axa-im-usa.com.