DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Dws Investments Australia Limited
Latest filing Sep 14, 2026
First filing on the tape Nov 21, 2011 · 105 filings
SEC status approved since Jul 14, 2000
RAUM
$1.9B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
105 filings and snapshots on the tape
RAUM$1.9B as of May 28, 2026
Mar 30, 2012$252M then
HNW client RAUM$0 as of May 28, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of May 28, 2026
Mar 30, 20120 then
Employees (5.A)25 as of May 28, 2026
Mar 28, 201318 then
Private funds: no history
RAUM +32% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $36.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$953M50%
- Pension and profit-sharing plans$772M41%
- Sovereign wealth funds$104M5.5%
- Investment companies$71.1M3.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 52reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.54 institutional_share=0.46 related_bd=true related_bank=true bd_reps=0.0 bank_owner=truederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dunstan David Hendriks · Chief Compliance Officercontrolsince 11/2021 · owns less than 5%
- Kenneth David Irving · Directorcontrolsince 07/2013 · owns less than 5%
- John Simon Murfin · Chief Financial Officer And Directorcontrolsince 09/2021 · owns less than 5%
- Theo Chris Robinson · Directorcontrolsince 03/2015 · owns less than 5%
- Jung Won Yeom · Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- N.Y. Susanna Wong · Legalsince 10/2020 · owns less than 5%
Entity owners
- Dws Group Gmbh & Co. Kgaa · Shareholderdirect · owns 75% or more
- Db Beteiligungs-Holding Gmbh · Shareholderindirect · owns 75% or more of Dws Group Gmbh & Co. Kgaa
- Deutsche Bank Ag · Shareholderindirect · owns 75% or more of Db Beteiligungs-Holding Gmbh
Related persons
Schedule D 7.A
- Dbx Advisors LLCinvestment adviserbanknRAUM $29B
- Deutsche Alternative Asset Management (Uk) Limitedinvestment advisern
- Deutsche Australia Limitedinvestment advisern
- Deutsche Bank (China) Co., Ltd., Shanghai Branchcustodiann
- Deutsche Bank (Malaysia) Berhadcustodiann
- Deutsche Bank A.S.custodiann
- Deutsche Bank Agbroker-dealerpooled vehicle sponsorCPO or CTAcustodiany
- Deutsche Bank Ag Bangkok Branchcustodiann
- Deutsche Bank Ag Hungary Branchcustodiann
- Deutsche Bank Ag Jakarta Branchcustodiann
- Deutsche Bank Ag Mumbai Branchcustodiann
- Deutsche Bank Ag, Amsterdam Branchcustodiann
- Deutsche Bank Ag, Amsterdam Branch (Belgium)custodiann
- Deutsche Bank Ag, Amsterdam Branch (France)custodiann
- Deutsche Bank Ag, Amsterdam Branch (Portugal)custodiann
- Deutsche Bank Ag, Colombo Branchcustodiann
- Deutsche Bank Ag, Frankfurtcustodiann
- Deutsche Bank Ag, Ho Chi Minh City Branchcustodiann
- Deutsche Bank Ag, Hong Kong Branchcustodiann
- Deutsche Bank Ag, Karachicustodiann
- Deutsche Bank Ag, London Branchcustodiann
- Deutsche Bank Ag, Manila Branchcustodiann
- Deutsche Bank Ag, New Yorkcustodiann
- Deutsche Bank Ag, Seoul Branchcustodiann
- Deutsche Bank Ag, Singapore Branchcustodiann
- Deutsche Bank Ag, Taipei Branchcustodiann
- Deutsche Bank Aktiengesellschaft Filiale Prag, Organizacni Slozkacustodiann
- Deutsche Bank Polska S.A.custodiann
- Deutsche Bank S.A. - Banco Alem?Ocustodiann
- Deutsche Bank S.A.E.custodiann
Advisers that list Dws Investments Australia Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 14, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
- discretionary share shiftChange between filings · filing Apr 17, 2026discretionary share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-04-30 and 2026-04-17peers: other advisers, $1B to $5B (247)
- institutional asset share shiftChange between filings · filing Apr 17, 2026institutional share of RAUM moved from 7.0% to 46.0% between the annual amendments of 2025-04-30 and 2026-04-17peers: other advisers, $1B to $5B (247)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMay 28, 2026 to Sep 14, 2026
- HQ state · to unsetMay 28, 2026 to Sep 14, 2026
- Succession · false to unsetMay 28, 2026 to Sep 14, 2026
- Accounts · 50 to 52Dec 10, 2025 to Mar 31, 2026
- Pension plan clients · 6 to 14Dec 10, 2025 to Mar 31, 2026
- Pooled vehicle clients · 28 to 18Dec 10, 2025 to Mar 31, 2026
- Employees · 28 to 25Dec 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $0Dec 10, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $1.9BDec 10, 2025 to Mar 31, 2026
- Pension RAUM · $67.8M to $772MDec 10, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $953MDec 10, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.9BDec 10, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jun 10, 2025 to Jul 11, 2025
- Corporate clients · 4 to 0Mar 4, 2025 to Apr 30, 2025
- Pension plan clients · 7 to 6Mar 4, 2025 to Apr 30, 2025
- Pooled vehicle clients · 23 to 28Mar 4, 2025 to Apr 30, 2025
- Employees · 26 to 28Mar 4, 2025 to Apr 30, 2025
- Discretionary RAUM · $1.9B to $1.4BMar 4, 2025 to Apr 30, 2025
- Pension RAUM · $128M to $67.8MMar 4, 2025 to Apr 30, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BMar 4, 2025 to Apr 30, 2025
- RAUM · $1.9B to $1.4BMar 4, 2025 to Apr 30, 2025
- HQ state · unset to Oct 2, 2024 to Jan 14, 2025
- Accounts · 48 to 50Mar 7, 2024 to Mar 28, 2024
- Pooled vehicle clients · 21 to 23Mar 7, 2024 to Mar 28, 2024
- Employees · 23 to 26Mar 7, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.6B to $1.9BMar 7, 2024 to Mar 28, 2024
- Pension RAUM · $133M to $128MMar 7, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.4BMar 7, 2024 to Mar 28, 2024
- RAUM · $1.6B to $1.9BMar 7, 2024 to Mar 28, 2024
- Accounts · 47 to 48Mar 20, 2023 to Mar 31, 2023
- Corporate clients · 5 to 4Mar 20, 2023 to Mar 31, 2023
- Pension plan clients · 8 to 7Mar 20, 2023 to Mar 31, 2023
- Pooled vehicle clients · 20 to 21Mar 20, 2023 to Mar 31, 2023
- Employees · 21 to 23Mar 20, 2023 to Mar 31, 2023
- Discretionary RAUM · $2.1B to $1.6BMar 20, 2023 to Mar 31, 2023
- Pension RAUM · $195M to $133MMar 20, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $1.5B to $1.2BMar 20, 2023 to Mar 31, 2023
- RAUM · $2.1B to $1.6BMar 20, 2023 to Mar 31, 2023
- Accounts · 42 to 47Feb 1, 2022 to Mar 30, 2022
- Corporate clients · 2 to 5Feb 1, 2022 to Mar 30, 2022
Signals
14 dated events
- Dws Investments Australia Limited reported RAUM $1.9B, up 32% from $1.4B (2025-12-10 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Dws Investments Australia Limited reported RAUM $1.4B, down 25% from $1.9B (2025-03-04 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- Jung Won Yeom (Chief Operating Officer) appeared on Schedule A of Dws Investments Australia LimitedOct 4, 2023 · Control person joined · fact
- Caleb Orr (Chief Operating Officer) no longer on Schedule A of Dws Investments Australia Limited (listed 2023-08-09, absent 2023-10-04)Oct 4, 2023 · Control person left · inference
- Dunstan David Hendriks (Chief Compliance Officer) appeared on Schedule A of Dws Investments Australia LimitedNov 30, 2021 · Control person joined · fact
- Shane Michael Thomas (Chief Compliance Officer) no longer on Schedule A of Dws Investments Australia Limited (listed 2021-11-15, absent 2021-11-30)Nov 30, 2021 · Control person left · inference
- Caleb Orr (Chief Operating Officer) appeared on Schedule A of Dws Investments Australia LimitedOct 6, 2021 · Control person joined · fact
- James Hedley Stuart Thorpe (Chief Operating Officer) no longer on Schedule A of Dws Investments Australia Limited (listed 2021-09-29, absent 2021-10-06)Oct 6, 2021 · Control person left · inference
- Rodney Andrew Taylor (Director) no longer on Schedule A of Dws Investments Australia Limited (listed 2021-07-21, absent 2021-09-10)Sep 10, 2021 · Control person left · inference
- Christopher Leon Williams (Director) no longer on Schedule A of Dws Investments Australia Limited (listed 2021-04-09, absent 2021-05-14)May 14, 2021 · Control person left · inference
- John Simon Murfin (Chief Financial Officer) appeared on Schedule A of Dws Investments Australia LimitedOct 21, 2020 · Control person joined · fact
- Christopher Leon Williams (Director) appeared on Schedule A of Dws Investments Australia LimitedMay 20, 2020 · Control person joined · fact
- Dws Investments Australia Limited reported RAUM $1.7B, up 29% from $1.3B (2019-12-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Peter John Cincotta (Director) no longer on Schedule A of Dws Investments Australia Limited (listed 2019-03-27, absent 2019-05-31)May 31, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- DWS.COM/EN-AUreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 011 612 8258 1234reportedpublic record, Form ADV, Sep 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026