Amundi Smith Breeden LLC (Durham)

Name: Amundi Smith Breeden LLC
Address: 280 South Mangum St, Durham, NC, 27701
Telephone: 919-967-7221

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. The adviser charges an additional fee when a set benchmark is outperformed. 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.