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.

Former SEC-registered adviser

Franklin Templeton Investments (Asia) Limited

Former SEC-registered adviserHong Kong, CRD 114898SEC 801-60477IAPD
Latest filing Mar 26, 2020
First filing on the tape Dec 23, 2011 · 22 filings
RAUM
$4.0B
reported, Item 5.F
Discretionary
100%
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
69
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$4.0B as of Dec 24, 2019
Dec 23, 2011$4.2B then
HNW client RAUM$0 as of Dec 24, 2019
Dec 22, 2017$0 then
State-registered IARs (5.B.3)0 as of Dec 24, 2019
Dec 23, 20110 then
Employees (5.A)69 as of Dec 24, 2019
Dec 20, 201253 then
Private funds: no history
RAUM -14% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
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
$129MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.1%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
-14%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 assets, performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.0B76%
  • Banks and thrifts$606M15%
  • Insurance companies$233M5.9%
  • Corporations and businesses$55.0M1.4%
  • Sovereign wealth funds$52.7M1.3%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
31reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Banks Mark Browning · Directorcontrol
        since 09/2006 · owns less than 5%
      • Wan David Chang · Directorcontrol
        since 02/2003 · owns less than 5%
      • Joseph Benhard Mark Mobius · Directorcontrol
        since 11/1993 · owns less than 5%
      • Andrew Jed Plafker · Directorcontrol
        since 10/2009 · owns less than 5%
      • N/A Wai Kwok Wu · Directorcontrol
        since 11/1993 · owns less than 5%
      • Ann Kellie Hargraves · Chief Compliance Officer
        since 07/2009 · owns less than 5%
      Entity owners
      • Franklin Templeton Capital Holdings Private Limited · Shareholder
        direct · owns 75% or more
      • Franklin Resources, Inc. · Shareholder
        indirect · owns 75% or more of Templeton Worldwide, Inc. · public reporting company
      • Templeton International, Inc. · Shareholder
        indirect · owns 75% or more of Franklin Templeton Capital Holdings Private Limited
      • Templeton Worldwide, Inc. · Shareholder
        indirect · owns 75% or more of Templeton International, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Franklin Templeton Investments (Asia) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 31
        Dec 24, 2018 to Dec 24, 2019
      • Advisory employees · 11 to 9
        Dec 24, 2018 to Dec 24, 2019
      • Pension plan clients · unset to 0.0
        Dec 24, 2018 to Dec 24, 2019
      • Pooled vehicle clients · 22 to 21
        Dec 24, 2018 to Dec 24, 2019
      • Employees · 71 to 69
        Dec 24, 2018 to Dec 24, 2019
      • Discretionary RAUM · $4.7B to $4.0B
        Dec 24, 2018 to Dec 24, 2019
      • Pension RAUM · $61.5M to $0
        Dec 24, 2018 to Dec 24, 2019
      • Pooled vehicle RAUM · $3.5B to $3.0B
        Dec 24, 2018 to Dec 24, 2019
      • RAUM · $4.7B to $4.0B
        Dec 24, 2018 to Dec 24, 2019
      • Accounts · 27 to 33
        Mar 20, 2018 to Dec 24, 2018
      • Pension plan clients · 0.0 to unset
        Mar 20, 2018 to Dec 24, 2018
      • Pooled vehicle clients · 11 to 22
        Mar 20, 2018 to Dec 24, 2018
      • Employees · 68 to 71
        Mar 20, 2018 to Dec 24, 2018
      • Discretionary RAUM · $2.3B to $4.7B
        Mar 20, 2018 to Dec 24, 2018
      • Pension RAUM · $0 to $61.5M
        Mar 20, 2018 to Dec 24, 2018
      • Pooled vehicle RAUM · $1.1B to $3.5B
        Mar 20, 2018 to Dec 24, 2018
      • RAUM · $2.3B to $4.7B
        Mar 20, 2018 to Dec 24, 2018
      • Accounts · 29 to 27
        Jul 5, 2017 to Dec 22, 2017
      • Advisory employees · 7 to 11
        Jul 5, 2017 to Dec 22, 2017
      • Advisory activities · 2 to 1
        Jul 5, 2017 to Dec 22, 2017
      • Charity clients · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • HNW clients · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Individual clients · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Pension plan clients · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Pooled vehicle clients · unset to 11.0
        Jul 5, 2017 to Dec 22, 2017
      • Employees · 65 to 68
        Jul 5, 2017 to Dec 22, 2017
      • Other offices · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Discretionary RAUM · $7.5B to $2.3B
        Jul 5, 2017 to Dec 22, 2017
      • HNW RAUM · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Individual RAUM · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Pension RAUM · unset to 0.0
        Jul 5, 2017 to Dec 22, 2017
      • Pooled vehicle RAUM · unset to 1077916390.0
        Jul 5, 2017 to Dec 22, 2017
      • RAUM · $7.5B to $2.3B
        Jul 5, 2017 to Dec 22, 2017
      • Accounts · 22 to 29
        Nov 3, 2016 to Dec 23, 2016
      • Employees · 62 to 65
        Nov 3, 2016 to Dec 23, 2016
      • Discretionary RAUM · $7.6B to $7.5B
        Nov 3, 2016 to Dec 23, 2016
      • RAUM · $7.6B to $7.5B
        Nov 3, 2016 to Dec 23, 2016
      • Accounts · 20 to 22
        Aug 6, 2015 to Dec 17, 2015
      • Discretionary RAUM · $9.0B to $7.6B
        Aug 6, 2015 to Dec 17, 2015
      • RAUM · $9.0B to $7.6B
        Aug 6, 2015 to Dec 17, 2015
      Signals
      1 dated events
      • Franklin Templeton Investments (Asia) Limited reported RAUM $4.7B, up 103% from $2.3B (2018-03-20 to 2018-12-24)
        Dec 24, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered 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
      Across the graphs

      Franklin Templeton Investments (Asia) Limited is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…