Investment adviser · CRD 169589

AMUNDI SMITH BREEDEN LLC

Investment adviser filing (IA)

DURHAM, NC, United States · Form ADV filed Jul 28, 2017

Regulatory AUM
$14.5B
Form ADV · Item 5.F
Client accounts
50
Accounts, not individual clients
Employees
75
Reported in this filing
Advisory professionals
27
Investment advisory functions

Private funds & service providers

8 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CAROLINA INSTITUTIONAL SHORT DURATION MASTER LTD.Hedge Fund · Last reported Jul 28, 2017$189MGross asset value

Feeder funds

  • CAROLINA INSTITUTIONAL SHORT DURATION FUND
  • CAROLINA INSTITUTIONAL SHORT DURATION FUND LTD.
Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD CAMANA BAY, Cayman Islands
Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-2795963425
Reported beneficial owners
10
Minimum commitment
$2M

Form ADV 1130380 · Jul 28, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-7-SB-ARHedge Fund · Last reported Jul 28, 2017$127MGross asset value
Fund administrator PRUDENTIAL INSURANCE COMPANY OF AMERICA NEWARK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No
Marketer PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC NEWARK, New Jersey, United States Related to adviser: No
Marketer WESTPORT FINANCIAL SERVICES LLC STAMFORD, Connecticut, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD 18353 · SEC 8-36540

Fund details & source
Fund ID
805-8180363865
Reported beneficial owners
8
Minimum commitment
$30M
Form D file number
021-161889

Form ADV 1130380 · Jul 28, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAROLINA SECURITIZED CREDIT OPPORTUNITIES MASTER LTD.Hedge Fund · Last reported Jul 28, 2017$41.4MGross asset value

Feeder funds

  • CAROLINA SECURITIZED CREDIT OPPORTUNITIES LLC
  • CAROLINA SECURITIZED CREDIT OPPORTUNITIES LTD.
Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD CAMANA BAY, Cayman Islands
Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-5704585323
Reported beneficial owners
5
Minimum commitment
$2M

Form ADV 1130380 · Jul 28, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

METROPOLITAN LIFE INSURANCE COMPANY ON BEHALF OF ITS SEPARATE ACCOUNT NO. 389Hedge Fund · Last reported Jul 28, 2017$19.8MGross asset value
Fund administrator METROPOLITAN LIFE INSURANCE COMPANY BRIDGEWATER, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor NO SEPARATE FINANCIAL STATEMENTS. ITS FINANCIAL RESULT INCLUDED IN METLIFE FINANCIAL STATEMENTS AUDITED BY DELOITTE & TOUCHE LLP NEW YORK, New York, United States
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Marketer WESTPORT FINANCIAL SERVICES LLC STAMFORD, Connecticut, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes
Fund details & source
Fund ID
805-1232339859
Reported beneficial owners
5
Minimum commitment
$1M
Form D file number
021-94265

Form ADV 1130380 · Jul 28, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

AMUNDI VOLATILITY WORLD EQUITY, LLCHedge Fund · Last reported Mar 31, 2016$43.8MGross asset value

Form D fundraising filings

Amundi Volatility World Equities, LLC

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD. HAMILTON, Bermuda
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Marketer AMUNDI DISTRIBUTORS USA, LLC DURHAM, North Carolina, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

AMUNDI DISTRIBUTORS USA, LLC
CRD 152399 · SEC 8-68450

Fund details & source
Fund ID
805-4512609312
Reported beneficial owners
10
Minimum commitment
$50K
Form D file number
021-201435

Form ADV 1007110 · Mar 31, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINE MOUNTAIN CDO LTDSecuritized Asset Fund · Last reported Mar 31, 2016$32MGross asset value
Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8035501280
Reported beneficial owners
1
Minimum commitment
$250K

Form ADV 1007110 · Mar 31, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINE MOUNTAIN CDO II LTDSecuritized Asset Fund · Last reported Mar 31, 2016$10.3MGross asset value
Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-5302677303
Reported beneficial owners
1
Minimum commitment
$250K

Form ADV 1007110 · Mar 31, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 28, 2017. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers · Publication of newsletters

Compensation

Percentage of assets · Hourly · Fixed · Performance-based

Principal office

280 SOUTH MANGUM ST, SUITE 301
DURHAM, NC, 27701, United States

CRD 169589

Filing source

Form ADV 1130380 · Jul 28, 2017 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.