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
Rcm Asia Pacific Limited
Latest filing Mar 31, 2014
First filing on the tape Jan 30, 2012 · 10 filings
RAUM
$14B
reported, Item 5.F
Discretionary
96%
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
68
47 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$109M gross assets
History
10 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2014
Apr 3, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 27, 20130 then
Employees (5.A)68 as of Mar 31, 2014
Mar 27, 201365 then
Private funds1 as of Mar 31, 2014
Mar 27, 20131 then
RAUM -4.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
- $150MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.3%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
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 92reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Allianz Short Duration High Yield Fund | Other Private Fund | $109M | 4 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Chi Keung Raymond Chan · Chief Investment Officer And Directorcontrolsince 09/2006 · owns less than 5%
- Douglas Andrew Eu · Directorcontrolsince 12/2011 · owns less than 5%
- Achim Frank Klausfelder · Directorcontrolsince 08/2013 · owns less than 5%
- Ernst Ferdinand Andreas Utermann · Global Chief Investment Officercontrolsince 01/2012 · owns less than 5%
- Kam Ip Wah · Directorcontrolsince 08/2013 · owns less than 5%
- Yuen Shan Chan · Chief Compliance Officersince 04/2012 · owns less than 5%
Entity owners
- Allianz Global Investors Gmbh · Shareholderdirect · owns 75% or more
- Allianz Asset Management Aktiengesellschaft · Stockholderindirect · owns 75% or more of Allianz Global Investors Gmbh
- Allianz Finanzbeteiligungs Gmbh · Stockholderindirect · owns 50% to 75% of Allianz Asset Management Aktiengesellschaft
- Allianz Se · Stockholderindirect · owns 25% to 50% of Allianz Asset Management Aktiengesellschaft
- Allianz Se · Stockholderindirect · owns 75% or more of Allianz Finanzbeteiligungs
Related persons
Schedule D 7.A
- Allianz Global Investors Distributors LLCbroker-dealerpooled vehicle sponsorn
- Allianz Global Investors Europe Gmbhinvestment adviserpooled vehicle sponsorLP sponsorn
- Allianz Global Investors France S.A.investment advisern
- Allianz Global Investors Fund Management LLCinvestment adviserbanknRAUM $30B
- Allianz Global Investors Hong Kong Limitedinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors Ireland Limitedinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors Japan Co., Ltd.investment advisern
- Allianz Global Investors Korea Limitedinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors Luxembourg S.A.investment adviserpooled vehicle sponsorn
- Allianz Global Investors Nominee Service Ltd.investment advisern
- Allianz Global Investors Singapore Ltd.investment adviserpooled vehicle sponsorn
- Allianz Global Investors Taiwan Limitedinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors U.S. LLCinvestment adviserbankpooled vehicle sponsornRAUM $5.0B
- Allianz Investment Management LLCinvestment advisernRAUM $19B
- Allianz Life Financial Services, LLCbroker-dealern
- Allianz Treuhand Gmbhinvestment advisern
- Nfj Investment Group LLCinvestment advisernRAUM $20B
- Pacific Investment Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $3667B
- Pimco Asia Limitedinvestment advisern
- Pimco Asia Pte Ltdinvestment advisern
- Pimco Australia Pty Ltdinvestment advisern
- Pimco Canada Corp.investment adviserbankpooled vehicle sponsorn
- Pimco Deutschland Gmbhinvestment advisern
- Pimco Europe Ltdinvestment advisern
- Pimco Global Advisors (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Pimco Global Advisors (Luxembourg) S.A.investment adviserbankpooled vehicle sponsorn
- Pimco Investments LLCbroker-dealern
- Pimco Japan Ltdinvestment advisern
- Pimco Latin America Administradora De Carteiras Ltda.investment advisern
- Questar Asset Management, Inc.investment advisernRAUM $1.1B
Advisers that list Rcm Asia Pacific Limited as a related person
Offices
Schedule D 1.F, the 25 largest
- Sydney, Nsw, Australia
What changed
consecutive filings, newest first
- Accounts · 99 to 92Aug 21, 2013 to Mar 31, 2014
- Advisory employees · 31 to 47Aug 21, 2013 to Mar 31, 2014
- Employees · 65 to 68Aug 21, 2013 to Mar 31, 2014
- Discretionary RAUM · $14B to $13BAug 21, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $656M to $594MAug 21, 2013 to Mar 31, 2014
- RAUM · $14B to $14BAug 21, 2013 to Mar 31, 2014
- Accounts · 103 to 99Dec 18, 2012 to Mar 27, 2013
- Advisory employees · 29 to 31Dec 18, 2012 to Mar 27, 2013
- Employees · 62 to 65Dec 18, 2012 to Mar 27, 2013
- Private funds · unset to 1Dec 18, 2012 to Mar 27, 2013
- Discretionary RAUM · $12B to $14BDec 18, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $801M to $656MDec 18, 2012 to Mar 27, 2013
- RAUM · $13B to $14BDec 18, 2012 to Mar 27, 2013
- Advisory employees · unset to 29.0Apr 16, 2012 to Nov 6, 2012
- Employees · unset to 62.0Apr 16, 2012 to Nov 6, 2012
- State-registered IARs · unset to 0.0Apr 16, 2012 to Nov 6, 2012
- Related bank · false to trueApr 16, 2012 to Nov 6, 2012
- Accounts · 91 to 103Feb 9, 2012 to Apr 3, 2012
- Discretionary RAUM · $13B to $12BFeb 9, 2012 to Apr 3, 2012
- Non-discretionary RAUM · $616M to $801MFeb 9, 2012 to Apr 3, 2012
- RAUM · $13B to $13BFeb 9, 2012 to Apr 3, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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