# AXA Investment Managers US Inc

> AXA Investment Managers US Inc is an SEC-registered investment advisory firm in New York, NY, registered since 2001, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 30, 2026.

- CRD: 113608
- Filed as: AXA INVESTMENT MANAGERS US INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/113608
- AdvisorCensus page: https://advisorcensus.com/firm/axa-investment-managers-us-inc-new-york-ny-113608

## Quick answers

**How is AXA Investment Managers US Inc compensated?**
On its Form ADV (Item 5.E, October 2026), AXA Investment Managers US Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is AXA Investment Managers US Inc located?**
AXA Investment Managers US Inc's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 5 other offices (Schedule D, Section 1.F).

**Is AXA Investment Managers US Inc registered with the SEC or a state?**
AXA Investment Managers US Inc is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 113608.

**How much does AXA Investment Managers US Inc manage?**
AXA Investment Managers US Inc reports $79,242,927,489 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (99% discretionary).

**How have AXA Investment Managers US Inc's assets and staff changed since 2021?**
In the Form ADV data for AXA Investment Managers US Inc: Regulatory assets under management: $93,649,440,818 in the October 2021 data and $79,242,927,489 in the October 2026 data, down 15%. Total employees: 90 in October 2021 and 167 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does AXA Investment Managers US Inc serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (28); insurance companies (22); other investment advisers (5).

**Which custodians does AXA Investment Managers US Inc use?**
AXA Investment Managers US Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BNP Paribas SA (affiliated with the firm), Citibank (Hong Kong) Limited and The Bank of New York Mellon as custodians holding 10% or more of its separately managed account assets.

**Does AXA Investment Managers US Inc report any disciplinary disclosures?**
Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years), 11.A(2) (felony charge in the past ten years), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/113608

**What changed in AXA Investment Managers US Inc's recent Form ADV filings?**
In the August 2026 filing data: Added an office in Boston, MA. Added an office in Stamford, CT. No longer lists an office in New York, NY. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other

### Custodians (Schedule D, Section 5.K(3))
- BNP Paribas SA (affiliated with the firm)
- Citibank (Hong Kong) Limited
- The Bank of New York Mellon

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $79,242,927,489
- Discretionary: $78,340,515,637
- Non-discretionary: $902,411,852

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | Fewer than 5 | $12,741,461 |
| Investment companies | 2 | $1,002,572,449 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 28 | $34,997,047,963 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $408,554,388 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $379,694,008 |
| Other investment advisers | 5 | $30,753,993,025 |
| Insurance companies | 22 | $11,688,324,195 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2001 (25 years)
- Employees: 167 total, 87 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, GA, TX
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(1): In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/113608

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Alpharetta, GA
- Boston, MA
- New York, NY
- Orinda, CA
- Stamford, CT

### Websites listed on Form ADV (Item 1.I)
- bnpparibas-am.com/en-us/institutional

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $93,649,440,818 | 90 | March 31, 2021 |
| October 2022 | $112,225,950,457 | 166 | September 26, 2022 |
| October 2023 | $87,774,028,517 | 174 | June 23, 2023 |
| October 2024 | $90,193,021,028 | 182 | May 22, 2024 |
| October 2025 | $76,657,102,013 | 172 | July 29, 2025 |
| October 2026 | $79,242,927,489 | 167 | July 30, 2026 |

Regulatory assets under management: $93,649,440,818 in the October 2021 data and $79,242,927,489 in the October 2026 data, down 15%.
Total employees: 90 in October 2021 and 167 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Added an office in Boston, MA.
- Added an office in Stamford, CT.
- No longer lists an office in New York, NY.
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Item 11 disclosure answers changed: 6 yes answers, previously 4 (now yes: 11.A(1), 11.A(2)).
- Employees performing advisory functions went from 109 to 87.

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AXA Investment Managers US Inc (CRD 113608): Form ADV filing data as of October 2026.