Amundi Smith Breeden LLC (Durham)


Amundi Smith Breeden LLC is a large advisory firm based in Durham. It manages $14.48 billion of regulatory assets for 50 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Amundi Smith Breeden provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, publication of newsletters, and may engage in special projects related to the financial industry but which may not involve investment advice.. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Amundi Smith Breeden: assets under management

The assets under management (AUM) of Amundi Smith Breeden LLC is $14.48 billion. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $14.31 billion in discretionary accounts and $170.89 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $304.48 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $56.96 million.
Amundi Smith Breeden has custody of $230.51 million in cash and securities for 2 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Amundi Smith Breeden LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Amundi Smith Breeden LLC

Stephen Alcuin Eason has been acting as President since 1 Apr 1988. Daniel Clifford Dektar has served as the Chief Investment Officer since 1 Aug 1987 and Michael Joseph Giarla is the Chief Executive Officer of Amundi Smith Breeden LLC family office. Kenneth James Taubes joined the executive team most recently as the Chief Investment Officer/Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael Joseph Giarla Director/chief executive officer 1 Jul 1986 Other 1574118
Daniel Clifford Dektar Managing director/chief investment officer 1 Aug 1987 Other 1578715
Daniel C. Dektar Managing director/chief investment officer 1 Aug 1987 Other 1578715
Stephen Alcuin Eason Director/senior executive vice president 1 Apr 1988 Other 1104114
Amy Carol Arganbright Executive vice president/chief operating officer 1 Jan 2006 Other 5505283
John Barker Sprow Executive vice president/chief risk officer 1 Jan 2009 Other 1904446
Daniel Rothschild Adler Executive vice president/director of the investment managment group 1 Jan 2009 Other 3124717
Jennifer Penafiel Miller Managing director/chief financial officer/secretary 1 Dec 2010 Other 5652814
Jennifer Penafiel Hollingsworth Managing director/chief financial officer/secretary 1 Dec 2010 Other 5652814
Jennifer P Miller Managing director/chief financial officer/secretary 1 Dec 2010 Other 5652814
Aimee Kathryn Harmelink Managing director of legal & compliance/chief compliance officer/general counsel/assistant secretary 1 Apr 2012 Other 6059819
Inc. Amundi Usa Member 1 Sep 2013 75% - 100% 51-0304614
Jonathan Michael Duensing Managing director 1 Oct 2013 Other 6262750
Pascal Maurice Blanque Director 1 Oct 2013 Other 5882318
Bernard Henri De Wit Director 1 Oct 2013 Other 6265839
Eric Marie Brard Director 1 Oct 2013 Other 6265842
Patrick Robert Pagni Chairman of the board of directors 1 Oct 2013 Other 4570328
Pascal Blanque Director 1 Oct 2013 Other 5882318
Markus Maximilian Krygier Director 1 Oct 2013 Other 6265837
Elke Rosa Urban Executive vice president 1 Sep 2014 Other 6470565
Elke Rosa Urban Executive vice president 1 Nov 2014 Other 6470565
Chartreuse Acres Llc Incentive plan 1 Jan 2015 Other 46-3793810
Laurent Michel Bertiau Director 1 Oct 2015 Other 4393418
Patrice Etienne Blanc Chief operating officer/director 1 Dec 2015 Other 1972464
Susan Marie Gradascevic Managing director/chief marketing officer 1 Feb 2016 Other 6520908
Dominique Luc Couasse Managing director/chief of staff 1 Feb 2017 Other 6776344
Philippe Garreau Managing director/chief risk officer 1 Feb 2017 Other 6776337
Kenneth James Taubes Chief investment officer/director 1 Jul 2017 Other 3137537
Lisa Jones Chief executive officer/chairman/director 1 Jul 2017 Other 1324612

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Amundi Group Shareholder 1 Nov 1978 75% - 100% foreign
Credit Agricole Sa Shareholder 1 Nov 1978 75% - 100% foreign
Amundi Shareholder 1 Nov 1978 75% - 100% foreign
Sas Rue La Boetie Shareholder 1 Nov 2001 50% - 75% foreign
Amundi Sa Shareholder 1 Jan 2008 75% - 100% foreign
Amundi Asset Management Shareholder 1 Jan 2008 75% - 100% foreign
Societe Generale Shareholder 1 Jan 2010 Other foreign

Based in Durham

The principal office where Amundi Smith Breeden LLC performs its advisory services is located at 280 South Mangum St, Durham, NC 27701, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 919-967-7221 or by fax 919-945-3523. The normal business hours are 8:30 a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at amundismithbreeden.com.

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