0001752724-23-227731.txt : 20231013
0001752724-23-227731.hdr.sgml : 20231013
20231013125324
ACCESSION NUMBER: 0001752724-23-227731
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230731
FILED AS OF DATE: 20231013
DATE AS OF CHANGE: 20231013
EFFECTIVENESS DATE: 20231013
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PIONEER ASSET ALLOCATION TRUST
CENTRAL INDEX KEY: 0001288255
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21569
FILM NUMBER: 231324535
BUSINESS ADDRESS:
STREET 1: 60 STATE ST
STREET 2: 5TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-742-7825
MAIL ADDRESS:
STREET 1: 60 STATE ST
STREET 2: 5TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
FORMER COMPANY:
FORMER CONFORMED NAME: PIONEER IBBOTSON ASSET ALLOCATION SERIES
DATE OF NAME CHANGE: 20041116
FORMER COMPANY:
FORMER CONFORMED NAME: PIONEER ASSET ALLOCATION SERIES
DATE OF NAME CHANGE: 20040422
0001288255
S000004007
Pioneer Solutions - Balanced Fund
C000011209
Pioneer Solutions - Balanced Fund: Class A
PIALX
C000011211
Pioneer Solutions - Balanced Fund: Class C
PIDCX
C000011212
Pioneer Solutions - Balanced Fund: Class Y
IMOYX
C000160060
Pioneer Solutions - Balanced Fund: Class R
BALRX
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0001288255
XXXXXXXX
811-21569
false
false
false
N-1A
S000004007
C000011211
C000011212
C000160060
C000011209
Pioneer Asset Allocation Trust
811-21569
0001288255
549300VK04RWHGF5F287
60 State Street
Boston
02109
US-MA
US
617-422-4947
Amundi Asset Management US, Inc.
60 State Street
Boston
02109
617-422-4947
Records related to its functions as investment adviser and administrator.
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its functions as custodian and sub-administrator.
BNY Mellon Investment Servicing (US) Inc.
500 Ross Street
Pittsburgh
15262
412-234-5000
Records related to its functions as shareholder servicing and transfer agent.
Amundi Distributor US, Inc.
60 State Street
Boston
02109
617-422-4947
Records related to its functions as principal underwriter.
Pioneer Asset Allocation Trust
60 State Street
Boston
02109
617-422-4947
Records related to its functions as Registrant.
N
N
N-1A
1
Y
Thomas J. Perna
N/A
N
John E. Baumgardner, Jr.
N/A
N
Lorraine H. Monchak
N/A
N
Craig C. MacKay
002008771
N
Lisa M. Jones
N/A
Y
Diane Durnin
N/A
N
Kenneth J. Taubes
N/A
Y
Marguerite A. Piret
N/A
N
Benjamin M. Friedman
N/A
N
Fred J. Ricciardi
N/A
N
John Malone
002314031
60 State Street
Boston
02109-1820
XXXXXX
N
N
N
N
N
N
N
Amundi Distributor US, Inc.
008-41256
000024497
549300OSI141GCUW7776
Y
N
Ernst & Young LLP
00042
N/A
N
N
N
N
N
N
N
Pioneer Solutions - Balanced Fund
S000004007
549300358A1YV7XS5068
N
4
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-4)
Rule 22d-1 (17 CFR 270.22d-1)
N
N
N
N
Amundi Asset Management US, Inc.
801-08255
000107719
GVETZ2DEF39OCQ4SSX41
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
N
BNP PARIBAS SECURITES SERVICES GERMANY
549300WCGB70D06XZS54
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank PLC (UK)
MP6I5ZYZBEU3UXPYFY54
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Swedbank AS
549300PHQZ4HL15HH975
EE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Philippine Branch
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
STANDARD CHARTERED BANK (HONG KONG) LIMITED
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank plc
MP6I5ZYZBEU3UXPYFY54
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
STANDARD CHARTERED BANK (SINGAPORE) LIMITED
549300MDYVVHJ8D1DW28
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services, Belgium Branch
549300WCGB70D06XZS54
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp - Finland Branch
529900ODI3047E2LIV03
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Sumitomo Mitsui Banking Corporation
5U0XI89JRFVHWIBS4F54
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank of Taiwan
549300QBHSCPTZ7YV010
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank
RILFO74KP1CM8P6PCT96
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc, pobocka zahranicnej banky
N1FBEDJ5J41VKZLO2475
SK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A. Brazil Branch
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC Investor Services Trust
5493002MUOV04NSPT571
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A. - Amsterdam Branch
549300WCGB70D06XZS54
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Jakarta Branch
E57ODZWZ7FF32TWEFA76
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Anonim Sirketi
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Dublin Branch
E57ODZWZ7FF32TWEFA76
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services S.C.A. - Lisbon Branch
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc, organizacnj slozka
N1FBEDJ5J41VKZLO2475
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank Abp
529900ODI3047E2LIV03
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional De Mexico S.A.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Continental Europe
F0HUI1NY1AZMJMD8LP67
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Thailand Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
Y
Amundi Asset Management US, Inc.
GVETZ2DEF39OCQ4SSX41
Y
N
N
Amundi Distributor US, Inc.
008-41256
000024497
549300OSI141GCUW7776
0.00000000
Credit Agricole Securities (USA) Inc.
008-13753
000000190
549300WO2DKF0Q3YMV43
0.00000000
0.00000000
0.00000000
N
372701828.00000000
0.00000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
g1aiii_asset_allocation.htm
Report of Independent Registered Public Accounting Firm
To the Shareholders of the Fund and Board of Trustees of
Pioneer Asset Allocation Trust:
In planning and performing our audit of the financial statements of Pioneer Solutions – Balanced Fund (the “Fund”) (one of the funds constituting Pioneer Asset Allocation Trust) as of and for the year ended July 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Trust’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Trust’s internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of July 31, 2023.
This report is intended solely for the information and use of management and the Board of Trustees of the Trust, and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ ERNST & YOUNG LLP
Boston, Massachusetts
September 29, 2023