DFX Intelligence

D•• A•••••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

D•• A•••••••• L••••••

CRD 107621

SYDNEY

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Search this name across graphsid dfx:ria:63e37886-f4db-facb-ef6a-2c923a312d2f

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 24, 2026
37 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.96 institutional_share=0.03 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $362B••• Locked
Discretionary RAUM: $362B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 134

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• D••••• G••••••	Chairman	C	yes	02/2017	Mar 30, 2012	Mar 28, 2024
C••••• J•••• G••••	DIRECTOR & CHAIRMAN	Na	yes	08/1994	Mar 30, 2012	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••••••• F••• A••••••• L•	n/a	Asset manager	$1020B	Y	yes	n/a
D••••••••• F••• A••••••• L••	n/a	Asset manager	$365B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Melbourne	n/a	Australia	7	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$362B	$274B	32.0%	$246B	13.7%	134	119	1	1

Relationships

Affiliated with (5)

→ D••••••••• F••• A••••••• L•Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ D••••••••• F••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← D••••••••• F••• A••••••• L•Registered adviserother investment adviser, bank, control, common control
factForm ADV
← D••••••••• F••• A••••••• L••Registered adviser

Dated events

Occurred
Mar 24, 2026
Regulatory AUM changed
D•• A•••••••• L•••••• reported RAUM $361.6B, up 32% from $273.9B (2025-07-10 to 2026-03-24)
Form ADVobserved 7 days ago
$87.7B
Occurred
Mar 29, 2018
Regulatory AUM changed
D•• A•••••••• L•••••• reported RAUM $248.6B, up 34% from $185.3B (2017-11-22 to 2018-03-29)
Form ADVobserved 7 days ago
$63.3B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63e37886-f4db-facb-ef6a-2c923a312d2f
First observed: Mar 30, 2012
Last observed: Mar 24, 2026 6 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.