Investment adviser · CRD 109077
AXA ROSENBERG INVESTMENT MANAGEMENT LLC
Investment adviser filing (IA)
ORINDA, CA, United States · Form ADV filed Mar 30, 2021
- Regulatory AUM
- $22.2B Form ADV · Item 5.F
- Client accounts
- 88 Accounts, not individual clients
- Employees
- 83 Reported in this filing
- Advisory professionals
- 31 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Other investment advisers | 5 | $21,623,628,358 | 97.4% |
| Investment companies | 1 | $413,111,902 | 1.9% |
| Retirement plans | Fewer than 5 | $127,179,904 | 0.6% |
| Pooled investment vehicles | 2 | $31,281,188 | 0.1% |
Filing source
Form ADV 1503011 · Mar 30, 2021 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
3 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLCOther Private Fund · Last reported Mar 30, 2021$15.6MGross asset value
Form D fundraising filings
AXA IM Global Emerging Markets Small Cap Fund, LLC
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
PRICEWATERHOUSECOOPERS LLP
PCAOB 238
AXA INVESTMENT MANAGERS INC
CRD 113608 · SEC 801-60374
Fund details & source
- Fund ID
- 805-4992990212
- Reported beneficial owners
- 11
- Minimum commitment
- $1M
- Form D file number
- 021-224871
Form ADV 1503011 · Mar 30, 2021 · 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.
AXA IM INTERNATIONAL SMALL CAP FUND, LLCOther Private Fund · Last reported Sep 28, 2017$12.3MGross asset value
Form D fundraising filings
AXA IM International Small Cap Fund, LLC
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
AXA INVESTMENT MANAGERS INC
CRD 113608 · SEC 801-60374
Fund details & source
- Fund ID
- 805-6935330129
- Reported beneficial owners
- 1
- Minimum commitment
- $1M
- Form D file number
- 021-198120
Form ADV 1143506 · Sep 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.
AXA ROSENBERG SMALL/MID CAP INSITUTIONAL FUND LLCOther Private Fund · Last reported Jan 31, 2012$3.5MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
AXA INVESTMENT MANAGERS INC
CRD 113608 · SEC 801-60374
Fund details & source
- Fund ID
- 805-5735635159
- Reported beneficial owners
- 1
- Minimum commitment
- $5M
Form ADV 602043 · Jan 31, 2012 · 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: Mar 30, 2021. View historical filings
Reported services
Investment company portfolio management · Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets
Principal office
4 ORINDA WAY, BUILDING EORINDA, CA, 94563, United States
CRD 109077
Filing source
Form ADV 1503011 · Mar 30, 2021 · 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.