Axa Rosenberg Investment Management LLC (Orinda)

Name: Axa Rosenberg Investment Management LLC
Address: 4 Orinda Way, Orinda, CA, 94563
Telephone: 925-254-6464

Axa Rosenberg Investment Management LLC is a large advisory firm based in Orinda. It manages $19.28 billion of regulatory assets for 91 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

Axa Rosenberg Investment Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and see schedule d: misc. - 5.g(12) for information. 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 Rosenberg Investment Management: assets under management

The assets under management (AUM) of Axa Rosenberg Investment Management LLC is $19.28 billion. The firm's AUM has grown by 267% since the beginning of its operation, and $18.07 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $18.3 billion in discretionary accounts and $977.61 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $205.62 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $488.81 million.

Axa Rosenberg Investment Management has custody of $78.3 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is investment and business development companies, which make up 1% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Axa Rosenberg Investment Management LLC for their services and products based on a percentage of assets under management 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 Christophe Eric Coquema serves?

The firm provides services to investment companies, other investment advisers, pooled investment vehicles, and pension and profit sharing plans. The largest group of clients of Christophe Eric Coquema is other investment advisers with 5 clients and $18.07 billion of assets under management. Among the 13 most similar advisory firms, Axa Rosenberg Investment Management has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $19.28 billion for 11 clients. 55% of the firm’s clients are foreign persons or businesses.

Axa Rosenberg Investment Management also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Axa Rosenberg Investment Management LLC

The company employs 119 people that are either part- or full-time employees. 47 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 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.

Christophe Eric Coquema has been acting as President since 1 Nov 2011. Kathleen Marie Houssels joined the executive team most recently as the Global Chief Investment Officer & Head Of Research/Models, Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Barr Rosenberg	Director, barr rosenberg research center llc	1 Dec 1998	25% - 50%	1821276
Edward Harvey Lyman	Global chief operating officer	1 Dec 1998	Other	4376523
Axa Rosenberg Group Llc	Member	1 Jan 1999	75% - 100%	68-0422640
Kenneth Reid	Global chief investment officer	1 Jan 2001	Other	1825747
William Edwin Ricks	Ceo and cio	1 Jan 2001	Other	4370830
Francois Robinet	Global chief executive officer	1 Feb 2001	Other	4376026
William Randall Wiebe	Chief legal counsel	1 Jan 2002	Other	4778231
Barr Rosenberg	Chairman, barr rosenberg research center llc	1 Apr 2002	Other	1821276
Edward Harvey Lyman	Global president	1 Jun 2002	Other	4376523
James Warren Young	Group chief financial officer	1 Feb 2003	Other	4933395
Stephane Francois Prunet	Group chief executive officer	1 Oct 2003	Other	4778213
Sara Melohn Donaldson	Chief compliance officer	1 Mar 2004	Other	1416023
Dominique Carrel Billiard	Chairman, director	1 Jul 2004	Other	4838411
Vincent Paul Ordonneau	Group chief financial officer	1 Feb 2006	Other	5110063
Kathleen Brown	Deputy cio	1 Mar 2007	Other	5656774
Kathleen Houssels	Deputy cio	1 Mar 2007	Other	5656774
Kenneth Reid	Group vice chairman	1 Jul 2007	Other	1825747
Agustin Ramos Sevilla	Global chief investment officer	1 Jul 2007	Other	1734595
Martha Parry Clark	Coo	1 Sep 2007	Other	5656433
Paul Douglas Burton	Ceo	1 Jan 2009	Other	5656771
Kenneth Reid	Head of research & co-director of research center	1 Jul 2010	Other	1825747
William Edwin Ricks	Cio & interim global head of portfolio management	1 Jul 2010	Other	4370830
Kathleen Houssels	Head of investment models & co-director research center	1 Jul 2010	Other	5656774
Martha Parry Clark	Ceo and global coo	1 Aug 2010	Other	5656433
Francis William Jump	Cio americas	1 Dec 2010	Other	1951276
William Edwin Ricks	Interim global head of portfolio management	1 Dec 2010	Other	4370830
Jeremy Matthew Baskin	Global ceo, global cio, director	1 Jan 2011	Other	1634601
Kevin Molloy	Director	1 Mar 2011	Other	2962906
Heidi Khashabi Ridley	Chief operating officer	1 Apr 2011	Other	2255586
John C Kakinuki	General counsel, head of legal and compliance	1 Jul 2011	Other	6005474
Christophe Eric Coquema	Director	1 Nov 2011	Other	6034954
Christophe Coquema	Director	1 Nov 2011	Other	6034954
Paul N/A Flavier	Head of risk management	1 Mar 2012	Other	6177378
Samuel Sung Han Kim	Chief legal officer	1 Apr 2012	Other	4982883
Cathy Jean Sabo	Global chief compliance officer	1 Apr 2012	Other	3274591
Jonathan Paul Asquith	Director	1 May 2012	Other	6212713
Kathleen Marie Houssels	Head of research and models	1 Aug 2012	Other	5656774
Kathleen Houssels	Head of resarch and models	1 Aug 2012	Other	5656774
Andrea Paolo Rossi	Chairman, director	1 Jul 2013	Other	6287517
Andrea Rossi	Chairman, director	1 Jul 2013	Other	6287517
Marcello (No Middle Name) Arona	Group chief financial officer	1 Dec 2013	Other	6286552
Marcello Arona	Group chief financial officer	1 Dec 2013	Other	6286552
Michel Henri Decoux	Head of risk management	1 Jan 2014	Other	6286556
Joseph Gilou Pinto	Director	1 Jan 2014	Other	6287534
Michel Decoux	Head of risk management	1 Jan 2014	Other	6286556
Joseph Pinto	Director	1 Jan 2014	Other	6287534
David Lawrence Smith	Head of global trading	1 Mar 2014	Other	4843677
Barbara Anne Fallon Walsh	Director	1 May 2014	Other	2718131
Mary Howland Demler	Chief administrative officer	1 Mar 2016	Other	6769645
Kathleen Marie Houssels	Global chief investment officer & head of research/models, director	1 Mar 2017	Other	5656774
Heidi Khashabi Ridley	Global chief executive officer, director	1 Mar 2017	Other	2255586
Mary Howland Demler	Chief administrative officer	1 Mar 2017	Other	6769645
Denise Ntonta	Chief operating officer	1 Mar 2017	Other	6771579

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Barr Rosenberg	General partner	1 Jun 1984	25% - 50%	1821276
June Diane Rosenberg	General partner	1 Jun 1984	50% - 75%	4371280
Axa Sa	Shareholder	1 Jun 1997	75% - 100%	foreign entity
Axa	Shareholder	1 Jun 1997	75% - 100%	foreign entity
Axa Investment Managers S.A.	Shareholder	1 Dec 1998	75% - 100%	foreign entity
S.A. Axa Investment Managers	Shareholder	1 Dec 1998	75% - 100%	foreign entity
Axa Im Holding U.S. Inc.	Shareholder	1 Jan 1999	75% - 100%	22-3624509
Axa Im Rose Inc.	Member	1 Jan 1999	75% - 100%	22-3624513
Axa Im Holdings Us Inc.	Member	1 Jan 1999	25% - 50%	22-3624509
L.P. Rosenberg Alpha	Member	1 Jan 1999	25% - 50%	68-0042130
Inc. Axa Im Rose	Member	1 Jan 1999	75% - 100%	22-3624513
Axa Im Holding Us Inc.	Member	1 Jan 1999	75% - 100%	22-3624509

Based in Orinda

The principal office where Axa Rosenberg Investment Management LLC performs its advisory services is located at 4 Orinda Way, Orinda, CA 94563, 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 925-254-6464 or by fax 925-253-3499. The normal business hours are 6 am to 6 pm on Monday - Friday. You can find more information about the New York firm at axa-rosenberg.com.