PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:52 AM ET

Sponsor Check › Sponsor group

A

Axa

One sponsor team, 2 deal companies · Paris, France (as filed: I0)

Grouped because: 10 shared people, 2 shared management entities, same business address (2 issuers), similar issuer names (2) (automatic match from the filings) · not the same sponsor?

2deal companies
$30Kreported sold
4investors
3Form D filings
2024–2026active
1new, last 12 mo

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group May 27, 2026 · Courts (RECAP) last checked: Oct 24, 2026, 2:14 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Axa is a sponsor group of 2 issuers that PartnerFacts links to one sponsor (shared people, shared management entity, same business address, similar issuer names; automatic match from the filings), filing 3 Form D filings between Feb 2024 and May 2026.

What this means One team, 2 deal companies, about 2 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $30K to 4 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (2). Issuers are based in France (as filed: I0) (2).

What this means $30K raised across the group, about $7,478 per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Anne Marion Bon (2 issuers, director), Arnaud de Beauchef de Servigny (2 issuers, director), BNP Paribas Asset Management Europe (2 issuers, promoter, entity), BNP Paribas Asset Management Holding (SA) (2 issuers, director, entity), Cecile Lesage (2 issuers, director) and 16 more.

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 1 new offering in the last 12 months; latest filing May 27, 2026.

What this means still raising money this year.

Adviser registration (Form ADV) on record: AXA INVESTMENT MANAGERS PARIS; BNP PARIBAS ASSET MANAGEMENT EUROPE.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — none found.

What this means Nothing turned up where we looked (4 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 3 public filings for Axa and found 6 differences, 2 worth asking the sponsor about: Form D filed 159 days after the first sale; 9 people are no longer listed on a later amendment; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Axa has not run yet — it is joining a line of 42,719 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found so far — 2 of 2 issuers searched (federal courts (CourtListener / RECAP), last checked Oct 24, 2026)

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched.. Searched so far: 2 of 2 issuers in this group; 0 still to be searched. Results are added automatically.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Axa..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

None found so far — 2 of 2 issuers searched (federal bankruptcy courts (CourtListener / RECAP), last checked Oct 24, 2026)

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only).. Searched so far: 2 of 2 issuers in this group; 0 still to be searched. Results are added automatically.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

6 differences found between the filings for Axa — 2 worth asking about (compared 3 filings on Oct 24, 2026)

Note · Sep 22, 1994 – Jul 23, 1997

Bankruptcy case: Pierri's Enterprises, Inc. — filed Sep 22, 1994

United States Bankruptcy Court, W.D. New York docket "Pierri's Enterprises, Inc." filed Sep 22, 1994, closed Jul 23, 1997. Sandro Pierri (listed on the same filings) is listed as Debtor ("Pierri's Enterprises, Inc."). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Note · Jun 22, 1994 – Mar 26, 1996

Bankruptcy case: Pierri's Motel Associates — filed Jun 22, 1994

United States Bankruptcy Court, W.D. New York docket "Pierri's Motel Associates" filed Jun 22, 1994, closed Mar 26, 1996. Sandro Pierri (listed on the same filings) is listed as Debtor ("Pierri's Motel Associates"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Worth asking · Dec 19, 2025 – May 27, 2026

Form D filed 159 days after the first sale — AXA IM Partner Capital Solutions VIII

The filing says the first sale was Dec 19, 2025. The Form D was filed May 27, 2026 — 159 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 144 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Sources
Note · Dec 18, 2023 – Feb 6, 2024

Form D filed 50 days after the first sale — AXA IM Partner Capital Solutions IX

The filing says the first sale was Dec 18, 2023. The Form D was filed Feb 6, 2024 — 50 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 35 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Sources
Worth asking · Feb 6, 2024 – May 27, 2026

9 people are no longer listed on a later amendment

Marco Morelli is no longer listed on the May 27, 2026 amendment — AXA IM Partner Capital Solutions IX · Axa Investment Managers Paris is no longer listed on the May 27, 2026 amendment — AXA IM Partner Capital Solutions IX · Angelien Kemna is no longer listed on the May 27, 2026 amendment — AXA IM Partner Capital Solutions IX · Alban de Mailly Nesle is no longer listed on the May 27, 2026 amendment — AXA IM Partner Capital Solutions IX · Gerald Harlin is no longer listed on the May 27, 2026 amendment — AXA IM Partner Capital Solutions IX · and 4 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Sources
Note · Feb 6, 2024 – May 27, 2026

Address moved from Puteaux, France (as filed: I0) to Paris, France (as filed: I0) — AXA IM Partner Capital Solutions IX

The people listed on the Feb 6, 2024 filing give Puteaux, France (as filed: I0); on the May 27, 2026 filing they give Paris, France (as filed: I0).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 27, 2026 D/A
AXA IM Partner Capital Solutions IX
File 021-504534
$0$0$0None listed on this filingEDGAR ↗
May 27, 2026 D
AXA IM Partner Capital Solutions VIII
File 021-585289
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 2 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 9:34 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Axa in the sources searched.

Not found in sources searched as of Oct 24, 2026, 9:34 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2005–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership rolls 2021–2027); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll); King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published); Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026); also looked up per issuer when its page is viewed. Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:05 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 8:30 AM ET; King County WA Assessor Real Property Sales extract (EXTR_RPSale.csv) Oct 24, 2026, 8:27 AM ET; Florida DOR NAL roll (Palm Beach 60) Oct 24, 2026, 8:25 AM ET; Florida DOR NAL roll (Broward 16) Oct 24, 2026, 8:24 AM ET; Florida DOR NAL roll (Dade 23) Oct 24, 2026, 8:23 AM ET; Florida DOR NAL roll (Hillsborough 39) Oct 24, 2026, 8:21 AM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 24, 2026, 8:20 AM ET; Harris County Appraisal District real_acct.txt Oct 24, 2026, 8:00 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗AI AXA IM Partner Capital Solutions IXshared people, shared management entity, same business address, similar issuer namesParis, France (as filed: I0)Pooled Investment Fund2$20,354
offering Indefinite · similar: $155,000–$5,250,000
3
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2024–2026
EDGAR ↗AI AXA IM Partner Capital Solutions VIIIshared people, shared management entity, same business address, similar issuer namesPARIS, France (as filed: I0)Pooled Investment Fund1$9,559
offering Indefinite · similar: $155,000–$5,250,000
1
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2026–2026

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗May 27, 2026AXA IM Partner Capital Solutions VIIIDPooled Investment FundIndefinite$9,559
EDGAR ↗May 27, 2026AXA IM Partner Capital Solutions IXD/APooled Investment FundIndefinite$20,354
EDGAR ↗Feb 6, 2024AXA IM Partner Capital Solutions IXDPooled Investment FundIndefinite$8,778

Activity: 1 new offering in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing May 27, 2026. Industry history, as reported on each offering's latest filing: All 2 offerings reported: Pooled Investment Fund (2024–2026).

People across the group

NameRolesIssuers hereFirst → last listed
NH Nathalie Dorothee Agnes HartmannDirector2May 27, 2026 → May 27, 2026
DV David VaillantDirector2May 27, 2026 → May 27, 2026
BP BNP Paribas Asset Management Holding (SA) entityDirector2May 27, 2026 → May 27, 2026
MA Marion Cecile AzuelosDirector2May 27, 2026 → May 27, 2026
OL Olivier de Begon de LarouziereDirector2May 27, 2026 → May 27, 2026
JM Jean-Christophe Pierre Marcel MeniouxDirector2May 27, 2026 → May 27, 2026
AS Arnaud de Beauchef de ServignyDirector2May 27, 2026 → May 27, 2026
SP Sandro PierriDirector2May 27, 2026 → May 27, 2026
BP BNP Paribas Asset Management Europe entityPromoter2May 27, 2026 → May 27, 2026
CL Cecile LesageDirector2May 27, 2026 → May 27, 2026
AB Anne Marion BonDirector2May 27, 2026 → May 27, 2026
FD Francois DeloozDirector2May 27, 2026 → May 27, 2026
MM Marco MorelliDirector1Feb 6, 2024 → Feb 6, 2024
AI Axa Investment Managers Paris entityPromoter1Feb 6, 2024 → Feb 6, 2024
AK Angelien KemnaDirector1Feb 6, 2024 → Feb 6, 2024
AN Alban de Mailly NesleDirector1Feb 6, 2024 → Feb 6, 2024
GH Gerald HarlinDirector1Feb 6, 2024 → Feb 6, 2024
CC Colin ClarkDirector1Feb 6, 2024 → Feb 6, 2024
UD Ulrike DecoeneDirector1Feb 6, 2024 → Feb 6, 2024
BL Bertrand Poupart-LafargeDirector1Feb 6, 2024 → Feb 6, 2024
KS Karima SilventDirector1Feb 6, 2024 → Feb 6, 2024

Business registration (state registry / Secretary of State)

None of the 2 issuers has a record in the registries searched.

Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file). A registry listing is the state's own record of the entity; it says nothing about the offering itself.

Adviser registration (Form ADV)

AXA INVESTMENT MANAGERS PARIS — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Jun 15, 2020 · SEC file 802-119059 · Main office: PUTEAUX HAUT-DE-SEINE · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.

Websites listed on Form ADV (Item 1.I): www.linkedin.com/company/axa-investment-managers ↗

Item 11 disclosure questions as answered on Form ADV filed Jul 1, 2025: 3 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • Yes (1 disclosure reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, no state to compare · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET

BNP PARIBAS ASSET MANAGEMENT EUROPE — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Feb 20, 2026 · SEC file 802-135635 · Main office: NANTERRE, ILE DE FRANCE · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.

Websites listed on Form ADV (Item 1.I): www.bnpparibas-am.com ↗

Item 11 disclosure questions as answered on Form ADV filed Mar 9, 2026: 4 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • Yes (7 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, no state to compare · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET

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