0001752724-23-235955.txt : 20231025
0001752724-23-235955.hdr.sgml : 20231025
20231025065913
ACCESSION NUMBER: 0001752724-23-235955
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20180731
FILED AS OF DATE: 20231025
DATE AS OF CHANGE: 20231025
EFFECTIVENESS DATE: 20231025
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/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21569
FILM NUMBER: 231343890
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
C000200317
Pioneer Solutions - Balanced Fund: Class K
N-CEN/A
1
primary_doc.xml
X0404N-CEN/ALIVE0001288255XXXXXXXX811-21569truefalsefalseN-1AtruePioneer Asset Allocation Trust811-215690001288255549300VK04RWHGF5F28760 State StreetBoston02109-1820US-MAUS617-422-4947Brown Brothers Harriman & Co.50 Post Office Sq.Boston02110-1543617-772-1818Books and recordsYNN-1A1YMargaret B.W. GrahamN/ANLisa M. JonesN/AYBenjamin M. FriedmanN/ANLorraine H. MonchakN/ANKenneth J. TaubesN/AYMarguerite A. PiretN/ANFred J. RicciardiN/ANDavid R. BockN/ANThomas J. PernaN/ANJean M. BradleyN/A60 State StreetBoston02109-1820XXXXXXNNNNNNNAMUNDI PIONEER DISTRIBUTOR, INC.8-41256N/A549300OSI141GCUW7776YNERNST & YOUNG LLP42N/ANNNNNNNPIONEER SOLUTIONS BALANCED FUNDS000004007549300358A1YV7XS5068Y500Fund of FundsNNNNN/AN/AN/ARule 32a-4 (17 CFR 270.32a-4)Rule 22d-1 (17 CFR 270.22d-1)YYNNAMUNDI PIONEER ASSET MANAGEMENT, INC.801-8255000107719GVETZ2DEF39OCQ4SSX41NDST Asset Manager Solutions, Inc.84-00869N/ANNNThompson Reuters Pricing ServiceN/ANInteractive Data Pricing and Reference Data, IncN/ANBloomberg Professional ServicesN/ANNBNP PARIBAS SECURITIES SERVICES549300WCGB70D06XZS54BENYForeign custodian - rule 17f-5 (17 CFR 270.17f-5)BNP PARIBAS SECURITIES SERVICES549300WCGB70D06XZS54NLNYForeign custodian - rule 17f-5 (17 CFR 270.17f-5)RBC INVESTOR SERVICES TRUST5493002MUOV04NSPT571CANYForeign custodian - rule 17f-5 (17 CFR 270.17f-5)NORDEA BANK AB (PUBL), FILIAL I NORGE213800HW2E5VN9FK1Y53NONYForeign custodian - rule 17f-5 (17 CFR 270.17f-5)Brown Brothers Harriman & Co.5493006KMX1VFTPYPW14NNBank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))NDST Asset Manager Solutions, Inc.N/ANNNBrown Brothers Harriman & Co.5493006KMX1VFTPYPW14NYPIONEER INVESTMENT MANAGEMENT,INC.GVETZ2DEF39OCQ4SSX41YNNAmundi Distributor US, Inc.008-41256000024497549300OSI141GCUW77760.00000000Credit Agricole Securities (USA) Inc.008-13753000000190549300WO2DKF0Q3YMV430.00000000Merrill Lynch, Pierce, Fenner & Smith Inc.008-072210000076918NAV47T0Y26Q87Y0QP81119.60000000Citigroup Global Markets Inc.008-08177000007059MBNUM2BPBDO7JBLYG3107631.25000000Barclays Capital Inc.008-41342000019714AC28XWWI3WIBK28243191297.93000000Cantor Fitzgerald & Co.008-002010000001345493004J7H4GCPG6OB621057.51000000RBC Capital Markets, LLC008-45411000031194549300LCO2FLSSVFFR64677.29000000Credit Suisse Securities (USA) LLC008-004220000008161V8Y6QCX6YMJ2OELII46345.49000000BNY Mellon Capital Markets, LLC008-35255000017454VJW2DOOHGDT6PR0ZRO631698.1500000012827.22000000Barclays Capital Inc.008-19714000041342AC28XWWI3WIBK28243193600202.03000000UBS Securities LLC008-22651000007654T6FIZBDPKLYJKFCRVK4472512627.20000000SMBC Nikko Securities America, Inc.008-438520000286026PJDTY319315T5LR22413346198.02000000Scotia Capital (USA) Inc.008-03716000002739549300BLWPABP1VNME360.02000000Brown Brothers Harriman Investments, LLC008-69731000282732N/A983054409.180000001083925360.00000000N341115005.20000000NNNNfalsefalsetruefalsefalsetrueOTHER REQUIRED INFO
2
asset_allocation_trust.txt
February 11, 2019
Registrant: Pioneer Asset Allocation Trust
File No.: 333-114788
Form: N-CEN/A
Original Filing Date: 10/12/18
Amended Filing Date: 2/11/19
Explanation: The Registrant amended the Form N-CEN for the period ended July
31, 2018 to correct the Advisor's CRD number
INTERNAL CONTROL RPT
3
ncenPioAssetallControlltr.txt
Report of Independent Registered Public Accounting Firm
To the Shareholders and Board of Trustees of
Pioneer Asset Allocation Trust
In planning and performing our audits of the financial statements of Pioneer
Solutions - Balanced Fund (the "Portfolio") (one portfolio constituting Pioneer
Asset Allocation Trust) as of and for the year ended July 31, 2018, in
accordance with the standards of the Public Company Accounting Oversight Board
(United States), we considered the Portfolio'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
Portfolio's internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Portfolio 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 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 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 Portfolio'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 Public Company Accounting
Oversight Board (United States). However, we noted no deficiencies in
the Portfolio'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, 2018.
This report is intended solely for the information and use of management and the
Board of Directors of Pioneer Asset Allocation 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 28, 2018
OTHER REQUIRED INFO
4
explanatory_note_2023.htm
Form: N-CEN/A
Explanation:
This amendment is being filed to address incorrect or omitted responses from the original submission.