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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MACQUARIE FUNDS MANAGEMENT

MACQUARIE INVESTMENT MANAGEMENT LIMITED, CRD 139345

SYDNEY NSW

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bc584e4-3f5b-04da-b273-0f50d8947a2e

Data as of Jun 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Jun 29, 2017
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Macquarie Funds Management

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.1BItem 5.F on the latest filing (2017-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 294
Advisory employees: 87
Accounts: 5
SEC number: 801-66160
CRD: 139345
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Jun 29, 2017
Organised: Corporation

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
MACQUARIE ASIA PACIFIC PRIVATE EQUITY FUND II LP	Private Equity Fund	$99.6M	Oct 6, 2014	2	Mar 30, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLTON, NICHOLAS, ROLAND	CHIEF LEGAL OFFICER	Na	yes	06/2009	Mar 30, 2012	Jun 29, 2017
BROWN, HELEN	Director	Na	yes	07/2014	Jun 30, 2014	Jun 29, 2017
DAVIS, MICHAEL, RONALD	Director	Na	yes	11/2015	Nov 5, 2015	Jun 29, 2017
EDSTEIN, JOHN	Director	Na	yes	07/2013	Jul 3, 2013	Jun 29, 2017
MACQUARIE B.H. PTY LTD	INDIRECT OWNER	E	yes	11/2007	Mar 30, 2012	Jun 29, 2017
MACQUARIE BANK LIMITED	INDIRECT OWNER	E	yes	01/1985	Mar 30, 2012	Jun 29, 2017
MACQUARIE FUNDS MANAGEMENT HOLDING PTY LTD	DIRECT OWNER	E	yes	09/2007	Mar 30, 2012	Jun 29, 2017
MACQUARIE GROUP LIMITED	INDIRECT OWNER	E	yes	11/2007	Mar 30, 2012	Jun 29, 2017
MILLER, IAN	Director	Na	yes	07/2013	Jul 3, 2013	Jun 29, 2017
LIM, KEAN	CHIEF COMPLIANCE OFFICER	Na	no	02/2016	Apr 21, 2016	Jun 29, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED	n/a	Other adviser	$187B	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST	n/a	Asset manager	$144B	N	yes	n/a
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	n/a	Former SEC adviser	$3.2B	N	yes	n/a
MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$1.9B	N	yes	n/a
MACQUARIE BANK INTERNATIONAL LIMITED	n/a	Former SEC adviser	$679M	N	yes	n/a
BOND STREET CUSTODIANS LIMITED	n/a	n/a	n/a	N	yes	n/a
MACQUARIE BANK LIMITED	n/a	n/a	n/a	Y	yes	n/a
MACQUARIE CAPITAL (USA) INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Sydney	n/a	Australia	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Jun 29, 2017	$1.1B	$1.1B	294	87	n/a	n/a	n/a
2016	Jun 29, 2016	$55B	$55B	705	431	n/a	n/a	n/a
2015	Jun 29, 2015	$51B	$51B	686	401	n/a	n/a	n/a
2014	Jun 30, 2014	$59B	$59B	723	449	n/a	1	$99.6M
2013	Jun 27, 2013	$55B	$55B	659	411	n/a	1	$8.9M
2012	Jun 28, 2012	$43B	$40B	n/a	n/a	n/a	1	$8.9M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.1B	$55B	-97.9%	$59B	-73.1%	294	705	n/a	n/a

Relationships

Affiliated with (9)

← NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE BANK INTERNATIONAL LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE FUNDS MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← DAVIS, MICHAEL, RONALDOwnerDIRECTOR, ownership code NA, individual
Nov 5, 2015 to presentfactForm ADV
← ALLTON, NICHOLAS, ROLANDOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← EDSTEIN, JOHNOwnerDIRECTOR, ownership code NA, individual
Jul 3, 2013 to presentfactForm ADV
← MILLER, IANOwnerDIRECTOR, ownership code NA, individual
Jul 3, 2013 to presentfactForm ADV
← BROWN, HELENOwnerDIRECTOR, ownership code NA, individual
Jun 30, 2014 to presentfactForm ADV
← MACQUARIE B.H. PTY LTDOwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← MACQUARIE BANK LIMITEDOwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← MACQUARIE FUNDS MANAGEMENT HOLDING PTY LTDOwnerDIRECT OWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← MACQUARIE GROUP LIMITEDOwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← LIM, KEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 21, 2016 to presentfactForm ADV

Advises (1)

→ MACQUARIE ASIA PACIFIC PRIVATE EQUITY FUND II LPPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 30, 2012 to Oct 6, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bc584e4-3f5b-04da-b273-0f50d8947a2e
First observed: Mar 30, 2012
Last observed: Jun 29, 2017 112 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MACQUARIE FUNDS MANAGEMENT

MACQUARIE INVESTMENT MANAGEMENT LIMITED, CRD 139345

SYDNEY NSW

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bc584e4-3f5b-04da-b273-0f50d8947a2e

Data as of Jun 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MACQUARIE ASIA PACIFIC PRIVATE EQUITY FUND II LP

Private Equity Fund

$99.6M

Oct 6, 2014

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLTON, NICHOLAS, ROLAND

CHIEF LEGAL OFFICER

yes

06/2009

Mar 30, 2012

Jun 29, 2017

BROWN, HELEN

Director

yes

07/2014

Jun 30, 2014

Jun 29, 2017

DAVIS, MICHAEL, RONALD

Director

yes

11/2015

Nov 5, 2015

Jun 29, 2017

EDSTEIN, JOHN

Director

yes

07/2013

Jul 3, 2013

Jun 29, 2017

MACQUARIE B.H. PTY LTD

INDIRECT OWNER

yes

11/2007

Mar 30, 2012

Jun 29, 2017

MACQUARIE BANK LIMITED

INDIRECT OWNER

yes

01/1985

Mar 30, 2012

Jun 29, 2017

MACQUARIE FUNDS MANAGEMENT HOLDING PTY LTD

DIRECT OWNER

yes

09/2007

Mar 30, 2012

Jun 29, 2017

MACQUARIE GROUP LIMITED

INDIRECT OWNER

yes

11/2007

Mar 30, 2012

Jun 29, 2017

MILLER, IAN

Director

yes

07/2013

Jul 3, 2013

Jun 29, 2017

LIM, KEAN

CHIEF COMPLIANCE OFFICER

02/2016

Apr 21, 2016

Jun 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED

n/a

Other adviser

$187B

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

n/a

Asset manager

$144B

yes

n/a

MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED

n/a

Former SEC adviser

$3.2B

yes

n/a

MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$1.9B

yes

n/a

MACQUARIE BANK INTERNATIONAL LIMITED

n/a

Former SEC adviser

$679M

yes

n/a

BOND STREET CUSTODIANS LIMITED

n/a

yes

n/a

MACQUARIE BANK LIMITED

n/a

yes

n/a

MACQUARIE CAPITAL (USA) INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Sydney

n/a

Australia

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jun 29, 2017

$1.1B

294

n/a

2016

Jun 29, 2016

$55B

705

431

n/a

2015

Jun 29, 2015

$51B

686

401

n/a

2014

Jun 30, 2014

$59B

723

449

n/a

$99.6M

2013

Jun 27, 2013

$55B

659

411

n/a

$8.9M

2012

Jun 28, 2012

$43B

$40B

n/a

$8.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.1B

$55B

-97.9%

$59B

-73.1%

294

705

n/a