# AMUNDI US INVESTMENT ADVISORS LLC

AMUNDI US INVESTMENT ADVISORS LLC of BOSTON, MA is an SEC-registered investment adviser.

## Registration

- CRD: 334151
- Type: SEC-registered investment adviser
- SEC file number: 801-131764
- Location: 28 STATE STREET, 28TH FLOOR, BOSTON, MA, 02109
- Phone: (617)-885-0250
- Latest filing: 2026-03-31
- Regulatory AUM: $1.1B
- Discretionary AUM: $1.1B
- Clients: 32
- Accounts: 2

## Business model

- Compensation: % of AUM
- Clients served: Pooled vehicles, Charities

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| [Frederic Robert Barthelemy](https://search.stillhousedata.com/person/682454) | CEO | — |
| [John Michael Malone](https://search.stillhousedata.com/person/682455) | CCO | — |
| [MALONE JOSEPH MICHAEL](https://search.stillhousedata.com/person/810223) | CCO | — |
| [BARTHELEMY FREDERIC ROBERT](https://search.stillhousedata.com/person/884477) | CEO | — |
| [Yuri Anthony Oberle](https://search.stillhousedata.com/person/1004054) | CFO | — |


## Disclosures (28)

_Showing 10 of 11 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-07-29 | regulatory | THE LUXEMBOURG COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER (CSSF) CONFIRMED ON JULY 29TH, 2021 TO AMUNDI LUXEMBOURG THE CONCLUSIONS OF ITS ON-SITE INSPECTION, CARRIED OUT IN APRIL-MAY 2019, ON CORPORATE GOVERNANCE AND ANTI-MONEY LAUNDERING / COUNTER-TERRORIST FINANCING. | Final | $153K |
| 2020-06-12 | regulatory | FOLLOWING AN INVESTIGATION CONDUCTED FROM 2017 TO 2019, THE FRENCH FINANCIAL MARKETS AUTHORITY (AUTORITE DES MARCHES FINANCIERS \[AMF\]) NOTIFIED AMUNDI OF GRIEVANCES ON JUNE 12, 2020. THE GRIEVANCES RELATE TO CERTAIN TRANSACTIONS CARRIED OUT BETWEEN 2014 AND 2015 BY TWO FORMER NON-US EMPLOYEES OF AMU… | Final | $37.9M |
| 2020-06-12 | regulatory | FOLLOWING AN INVESTIGATION CONDUCTED FROM 2017 TO 2019, THE FRENCH FINANCIAL MARKETS AUTHORITY (AUTORITÉ DES MARCHÉS FINANCIERS \[AMF\]) NOTIFIED AMUNDI OF GRIEVANCES ON JUNE 12, 2020. THE GRIEVANCES RELATE TO CERTAIN TRANSACTIONS CARRIED OUT BETWEEN 2014 AND 2015 BY TWO FORMER NON-US EMPLOYEES OF AMU… | Final | $37.9M |
| 2019-05-07 | regulatory | GRIEVANCE RELATING TO THE PUBLICATION ON THE AMUNDI WEBSITE FOR BELGIAN INVESTORS OF A COMMERCIAL DOCUMENTATION WHICH, IN ITS DUTCH VERSION, MENTIONED AN ANNUAL PERFORMANCE TARGET OF 7% WHILE, DURING THE APPROVAL PROCESS BASED ON A FRENCH WRITTEN TEMPLATE OF THE COMMERCIAL DOCUMENTATION, THE BELGIAN… | Final | $60K |
| 2018-12-20 | regulatory | THE EUROPEAN COMMISSION ANNOUNCED ON DECEMBER 20, 2018 THAT IT REACHED A PRELIMINARY VIEW THAT CERTAIN BANKS HAVE BREACHED EU ANTITRUST RULES. THE ALLEGATIONS RELATE TO THE TRADING OF USD-DENOMINATED SOVEREIGN, SUPRA-SOVEREIGN, AND AGENCY ("SSA") BONDS ON THE SECONDARY MARKET BETWEEN JANUARY 2013 AN… | On Appeal | $4.8M |
| 2018-12-20 | regulatory | THE EUROPEAN COMMISSION ANNOUNCED ON DECEMBER 20, 2018 THAT IT REACHED A PRELIMINARY VIEW THAT CERTAIN BANKS HAVE BREACHED EU ANTITRUST RULES. THE ALLEGATIONS RELATE TO THE TRADING OF USD-DENOMINATED SOVEREIGN, SUPRA-SOVEREIGN, AND AGENCY ("SSA") BONDS ON THE SECONDARY MARKET BETWEEN JANUARY 2013 AN… | Final | $4.8M |
| 2018-07-16 | regulatory | THIS PENALTY WAS IMPOSED FOR BREACH OF THE PROCEDURE LAID DOWN IN ARTICLE 26(3) OF REGULATION (EU)NO 575/2013 OF THE EUROPEAN PARLIAMENT BY CLASSIFYING CAPITAL INSTRUMENTS AS COMMON EQUITY TIER 1 INSTRUMENTS DURING THREE (FIVE FOR CASA) CONSECUTIVE QUARTERLY REPORTING PERIODS AND TWO (THREE FOR CASA… | Final | $4.6M |
| 2015-10-19 | regulatory | CRÉDIT AGRICOLE S.A. (CASA) AND ITS SUBSIDIARY CRÉDIT AGRICOLE CORPORATE AND INVESTMENT BANK (CACIB) HAVE REACHED AGREEMENTS WITH THE U.S. AND NEW YORK AUTHORITIES THAT HAVE BEEN CONDUCTING INVESTIGATIONS REGARDING U.S. DOLLAR TRANSACTIONS BETWEEN 2003 AND 2008 SUBJECT TO U.S. ECONOMIC SANCTIONS AND… | Final | $787.3M |
| 2015-10-19 | regulatory | CREDIT AGRICOLE S.A. (CASA) AND ITS SUBSIDIARY CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK (CACIB) HAVE REACHED AGREEMENTS WITH THE U.S. AND NEW YORK AUTHORITIES THAT HAVE BEEN CONDUCTING INVESTIGATIONS REGARDING U.S. DOLLAR TRANSACTIONS BETWEEN 2003 AND 2008 SUBJECT TO U.S. ECONOMIC SANCTIONS AND… | Final | $787.3M |
| 2014-05-19 | regulatory | ON DECEMBER 7, 2016, THE EUROPEAN COMMISSION (THE "COMMISSION") ANNOUNCED THAT IT FINED CRÉDIT AGRICOLE S.A. ("CASA") AND CRÉDIT AGRICOLE CORPORATE AND INVESTMENT BANK ("THE BANK"), HSBC, AND JPMORGAN CHASE FOR ANTICOMPETITIVE PRACTICES CONCERNING BENCHMARK INTEREST RATES. THE COMMISSION CLAIMS THAT… | On Appeal | $120.6M |


## Branch offices (4)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| PARIS | — | 15 | +33 1 76333030 |
| PARIS | — | 15 | +33 1 76333030 |
| DUBLIN | — | 6 | +353 1 4802000 |
| DUBLIN | — | 6 | +353 1 4802000 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/334151/brochure
- Similar advisers: https://search.stillhousedata.com/firm/334151/similar
- Related entities: https://search.stillhousedata.com/firm/334151/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/334151

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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.