# AXA ROSENBERG INVESTMENT MANAGEMENT LLC

AXA ROSENBERG INVESTMENT MANAGEMENT LLC of ORINDA, CA is an SEC-registered investment adviser.

## Registration

- CRD: 109077
- Type: SEC-registered investment adviser
- SEC file number: 801-56080
- Location: 4 ORINDA WAY, BUILDING E, ORINDA, CA, 94563
- Phone: 925-254-6464
- Latest filing: 2021-03-30
- Regulatory AUM: $22.2B
- Discretionary AUM: $22.2B
- Clients: 83
- Accounts: 88

## Officers, owners & control persons (47)

_Showing 25 of 47 people._

| Name | Role | Location |
| --- | --- | --- |
| [Smith R Lawrence](https://search.stillhousedata.com/person/330850) | HEAD OF GLOBAL TRADING; HEAD OF TRADING & ADMINISTRATIVE OFFICER | Overland Park, KS |
| [PRUNET STEPHANE FRANCOIS](https://search.stillhousedata.com/person/730482) | GROUP CHIEF EXECUTIVE OFFICER | — |
| [REID KENNETH](https://search.stillhousedata.com/person/736864) | GLOBAL CHIEF INVESTMENT OFFICER; GROUP VICE CHAIRMAN; HEAD OF RESEARCH AND CO-DIRECTOR OF THE BARR ROSENBERG RESEARCH CENTER (+1 more) | — |
| [RICKS WILLIAM EDWIN](https://search.stillhousedata.com/person/736865) | CEO AND CIO; CIO; CIO & INTERIM GLOBAL HEAD OF PORTFOLIO MANAGEMENT (+1 more) | — |
| [ROSENBERG BARR](https://search.stillhousedata.com/person/736866) | CHAIRMAN, BARR ROSENBERG RESEARCH CENTER LLC; DIRECTOR, BARR ROSENBERG RESEARCH CENTER LLC; GENERAL PARTNER | — |
| [ROSENBERG JUNE DIANE](https://search.stillhousedata.com/person/736867) | GENERAL PARTNER | — |
| [WIEBE WILLIAM RANDALL](https://search.stillhousedata.com/person/736868) | CHIEF LEGAL COUNSEL; GROUP CHIEF LEGAL COUNSEL | — |
| [DONALDSON SARA MELOHN](https://search.stillhousedata.com/person/736869) | AMERICAS' CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AMERICAS | — |
| [ORDONNEAU VINCENT PAUL](https://search.stillhousedata.com/person/736870) | GROUP CHIEF FINANCIAL OFFICER | — |
| [CARREL-BILLIARD DOMINIQUE](https://search.stillhousedata.com/person/738656) | CHAIRMAN, DIRECTOR | — |
| [LYMAN EDWARD HARVEY](https://search.stillhousedata.com/person/753417) | GLOBAL CHIEF OPERATING OFFICER; GLOBAL PRESIDENT | — |
| [YOUNG JAMES WARREN](https://search.stillhousedata.com/person/761802) | GROUP CHIEF FINANCIAL OFFICER | — |
| [SEVILLA AGUSTIN RAMOS](https://search.stillhousedata.com/person/764734) | GLOBAL CHIEF INVESTMENT OFFICER | — |
| [HOUSSELS KATHLEEN](https://search.stillhousedata.com/person/772070) | DEPUTY CIO; HEAD OF INVESTMENT MODELS AND CO-DIRECTOR OF THE BARR ROSENBERG RESEARCH CENTER; HEAD OF INVESTMENT MODELS & CO-DIRECTOR RESEARCH CENTER (+2 more) | — |
| [BASKIN JEREMY MATTHEW](https://search.stillhousedata.com/person/772071) | GLOBAL CEO, GLOBAL CIO, DIRECTOR; GROUP CEO, GLOBAL HEAD OF PORTFOLIO MANAGEMENT & CEO AMERICAS; GROUP CHIEF EXECUTIVE OFFICER | — |
| [JUMP FRANCIS WILLIAM](https://search.stillhousedata.com/person/772101) | CIO; CIO AMERICAS | — |
| [ROBINET FRANCOIS](https://search.stillhousedata.com/person/783341) | GLOBAL CHIEF EXECUTIVE OFFICER | — |
| [CLARK MARTHA PARRY](https://search.stillhousedata.com/person/791305) | CEO AND GLOBAL COO; COO | — |
| [SABO CATHY JEAN](https://search.stillhousedata.com/person/794667) | CHIEF COMPLIANCE OFFICER; GLOBAL CHIEF COMPLIANCE OFFICER; OFFICER | — |
| [MOLLOY KEVIN](https://search.stillhousedata.com/person/795934) | DIRECTOR | — |
| [BURTON PAUL DOUGLAS](https://search.stillhousedata.com/person/808463) | CEO | — |
| [BROWN KATHLEEN](https://search.stillhousedata.com/person/808464) | DEPUTY CIO | — |
| [RIDLEY HEIDI KHASHABI](https://search.stillhousedata.com/person/813679) | CHIEF OPERATING OFFICER; GLOBAL CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| [KIM SAMUEL SUNG HAN](https://search.stillhousedata.com/person/813680) | CHIEF LEGAL OFFICER | — |
| [FLAVIER PAUL NA](https://search.stillhousedata.com/person/813681) | HEAD OF RISK MANAGEMENT; HEAD OF ROSENBERG EQUITIES & CHIEF EXECUTIVE OFFICER, DIRECTOR | — |


## Private funds (1)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLC | Other Private Fund | — | 11 | $15.6M | $1.0M |


## Fund service providers (1)

- administrator: STATE STREET BANK AND TRUST COMPANY

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/109077/brochure
- Similar advisers: https://search.stillhousedata.com/firm/109077/similar
- Related entities: https://search.stillhousedata.com/firm/109077/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/109077

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.