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.
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SEC-registered adviser
F•••• S•••••• I••••••••
Legal name F•••• S•••••• I•••••••• ••••••••• I• L••
Latest filing Apr 23, 2026
First filing on the tape Dec 22, 2011 · 62 filings
SEC status approved since Jan 10, 2012
RAUM
$53B
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
313
51 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$53B as of Apr 23, 2026
Nov 6, 2012$81B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 23, 2026
Nov 6, 20120 then
Employees (5.A)313 as of Apr 23, 2026
Nov 6, 2012130 then
Private funds: no history
RAUM -20% over the last fiscal year-12% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Apr 23, 2026; 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
- $540MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$21B40%
- Sovereign wealth funds$20B38%
- Pension and profit-sharing plans$6.7B13%
- State and municipal entities$1.5B2.8%
- Banks and thrifts$1.1B2.0%
- Investment companies$967M1.8%
- Corporations and businesses$862M1.6%
- Insurance companies$544M1.0%
- Other investment advisers$43.9M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 98reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.42 institutional_share=0.54 related_bd=true related_bank=true bd_reps=0.0derived
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
- E••••• S••••••• C•••• · Chief Financial Officercontrolsince 08/2019 · owns less than 5%
- G••••• A•••••• R•••• · Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- O••••••• N•••• A•••••• · Directorcontrolsince 07/2024 · owns less than 5%
- P••••••••• L••••• · Directorcontrolsince 05/2023 · owns less than 5%
- S••••••••• M•••• D•••• · Chief Executive Officercontrolsince 10/2018 · owns less than 5%
- T•••••• E•••• K•••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- T•••••• K••••••• T••••• · Directorcontrolsince 07/2024 · owns less than 5%
- U•••• Y•••••• · Directorcontrolsince 05/2023 · owns less than 5%
- W••••••••• L•••• J••• · Group General Counselcontrolsince 04/2023 · owns less than 5%
Entity owners
- F•••• S•••••• I•••••••• H••••••• P•• L•••••• · Beneficial Ownerdirect · owns 75% or more
- M••••••••• U•• F•••••••• G••••• I•• · Head Parent Companyindirect · owns 75% or more of M••••••••• U•• T•••• A•• B•••••• C••••••••• · public reporting company
- M••••••••• U•• T•••• A•• B•••••• C••••••••• · Shareholderindirect · owns 75% or more of F•••• S•••••• I•••••••• H••••••• P•• L••••••
Related persons
Schedule D 7.A
- A••••••• C•••••• L••••••investment advisern
- A••••••• C•••••• L••investment adviserbankn
- F•••• S•••••• I••••••••investment advisernRAUM $5.4B
- F•••• S•••••• I••••••••investment advisernRAUM $3.6B
- F•••• S•••••• I••••••••investment advisernRAUM $6.8B
- F•••• S•••••• I•••••••• •••• K•••• L••••••investment advisernRAUM $33B
- F•••• S•••••• I•••••••• •••••••• L••••••investment advisernRAUM $28B
- F•••• S•••••• I•••••••• •••••• L••••••investment advisern
- F•••• S•••••• I•••••••• •••••••••investment advisernRAUM $11B
- F•••• S•••••• I•••••••• ••• F•••• L••••••investment advisernRAUM $12B
- F•••• S•••••• I•••••••• ••• I• L••••••investment advisernRAUM $13B
- F•••• S•••••• I•••••••• ••• L••investment advisernRAUM $969M
- F•••• S•••••• I•••••••• I••••••••• I• L••••••investment advisernRAUM $16B
- F•••• S•••••• I•••••••• R•• P•• L••investment advisern
- M••••••••• U•• T•••• A•• B•••••• C•••••••••investment adviserinvestment companyreal estateyRAUM $407B
Advisers that list F•••• S•••••• I•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- Walsh Bay Nsw, Australia4 employees
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 127 to 98Jan 5, 2026 to Mar 30, 2026
- Advisory employees · 55 to 51Jan 5, 2026 to Mar 30, 2026
- BD registered reps · 2 to 0Jan 5, 2026 to Mar 30, 2026
- Corporate clients · 6 to 4Jan 5, 2026 to Mar 30, 2026
- Pension plan clients · 19 to 14Jan 5, 2026 to Mar 30, 2026
- Pooled vehicle clients · 63 to 43Jan 5, 2026 to Mar 30, 2026
- Employees · 328 to 313Jan 5, 2026 to Mar 30, 2026
- Other offices · 3 to 2Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $66B to $53BJan 5, 2026 to Mar 30, 2026
- Pension RAUM · $6.0B to $6.7BJan 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $34B to $21BJan 5, 2026 to Mar 30, 2026
- RAUM · $66B to $53BJan 5, 2026 to Mar 30, 2026
- Financial planning clients · unset to Jun 3, 2025 to Jul 7, 2025
- Accounts · 173 to 127Aug 29, 2024 to Apr 7, 2025
- Advisory employees · 76 to 55Aug 29, 2024 to Apr 7, 2025
- Charity clients · 3.0 to unsetAug 29, 2024 to Apr 7, 2025
- Pension plan clients · 23 to 19Aug 29, 2024 to Apr 7, 2025
- Pooled vehicle clients · 89 to 63Aug 29, 2024 to Apr 7, 2025
- Employees · 390 to 328Aug 29, 2024 to Apr 7, 2025
- HQ state · unset to Aug 29, 2024 to Apr 7, 2025
- Discretionary RAUM · $90B to $66BAug 29, 2024 to Apr 7, 2025
- Pension RAUM · $7.7B to $6.0BAug 29, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · $46B to $34BAug 29, 2024 to Apr 7, 2025
- RAUM · $90B to $66BAug 29, 2024 to Apr 7, 2025
- Accounts · 175 to 173Feb 8, 2024 to Mar 26, 2024
- Advisory employees · 91 to 76Feb 8, 2024 to Mar 26, 2024
- BD registered reps · 0 to 2Feb 8, 2024 to Mar 26, 2024
- Charity clients · 1 to 3Feb 8, 2024 to Mar 26, 2024
- Pension plan clients · 26 to 23Feb 8, 2024 to Mar 26, 2024
- Pooled vehicle clients · 91 to 89Feb 8, 2024 to Mar 26, 2024
- Employees · 360 to 390Feb 8, 2024 to Mar 26, 2024
- Discretionary RAUM · $79B to $90BFeb 8, 2024 to Mar 26, 2024
- Pension RAUM · $7.3B to $7.7BFeb 8, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $42B to $46BFeb 8, 2024 to Mar 26, 2024
- RAUM · $79B to $90BFeb 8, 2024 to Mar 26, 2024
- Accounts · 178 to 175Nov 3, 2022 to Mar 29, 2023
- Advisory employees · 98 to 91Nov 3, 2022 to Mar 29, 2023
- Corporate clients · 16 to 6Nov 3, 2022 to Mar 29, 2023
- Pension plan clients · 19 to 26Nov 3, 2022 to Mar 29, 2023
- Pooled vehicle clients · 89 to 91Nov 3, 2022 to Mar 29, 2023
Signals
27 dated events
- F•••• S•••••• I•••••••• reported RAUM $66.5B, down 26% from $89.6B (2024-08-29 to 2025-04-07)Apr 7, 2025 · RAUM change · derived
- T••••• K•••••• T••••• (Director) appeared on Schedule A of F•••• S•••••• I••••••••Jul 11, 2024 · Control person joined · fact
- Anthony Noel O'Brien (Director) appeared on Schedule A of F•••• S•••••• I••••••••Jul 11, 2024 · Control person joined · fact
- D•••• Allen (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2024-03-26, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- Nicholas Gary Cotton (Chief Operating Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2023-08-24, absent 2024-02-08)Feb 8, 2024 · Control person left · inference
- R•••• A••••• G•••• (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Feb 8, 2024 · Control person joined · fact
- John Brian Hollingworth (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2023-03-29, absent 2023-05-09)May 9, 2023 · Control person left · inference
- Lauren Prendiville (Director) appeared on Schedule A of F•••• S•••••• I••••••••May 9, 2023 · Control person joined · fact
- Y•••••• U••• (Director) appeared on Schedule A of F•••• S•••••• I••••••••May 9, 2023 · Control person joined · fact
- Ann E•••••••• H••••••• (Chief Legal Officer, Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2022-03-29, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- Gordon Robert Scott (Chief Operating Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2022-03-29, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- J••• L••• W•••••••• (Acting Group General Counsel) appeared on Schedule A of F•••• S•••••• I••••••••Nov 3, 2022 · Control person joined · fact
- Nicholas Gary Cotton (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Nov 3, 2022 · Control person joined · fact
- D•••• Allen (Director) appeared on Schedule A of F•••• S•••••• I••••••••Mar 29, 2022 · Control person joined · fact
- Y••••• K••••••• (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2021-10-14, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- A••••• Perry Clausen (Director, Global Chief Investment Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2021-10-14, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Patrick Harry Moore (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2021-05-05, absent 2021-10-14)Oct 14, 2021 · Control person left · inference
- Y••••• K••••••• (Director) appeared on Schedule A of F•••• S•••••• I••••••••Mar 29, 2021 · Control person joined · fact
- K•••••• E••• T••••• (Chief Compliance Officer) appeared on Schedule A of F•••• S•••••• I••••••••Mar 29, 2021 · Control person joined · fact
- Joe Flex (Chief Compliance Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2020-08-24, absent 2020-10-08)Oct 8, 2020 · Control person left · inference
- A••••• Perry Clausen (Global Chief Investment Officer) appeared on Schedule A of F•••• S•••••• I••••••••Jul 1, 2020 · Control person joined · fact
- Geoffrey D•••• Dixon (Chief Investment Officer And Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2020-03-30, absent 2020-07-01)Jul 1, 2020 · Control person left · inference
- Patrick Harry Moore (Director) appeared on Schedule A of F•••• S•••••• I••••••••Aug 27, 2019 · Control person joined · fact
- C•••• S•••••• E•••• (Chief Financial Officer) appeared on Schedule A of F•••• S•••••• I••••••••Aug 27, 2019 · Control person joined · fact
- Gregg Johnston (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2019-07-11, absent 2019-08-27)Aug 27, 2019 · Control person left · inference
- C•••• A••••• D•••• (Chief Financial Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2019-07-11, absent 2019-08-27)Aug 27, 2019 · Control person left · inference
- Gordon Robert Scott (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Jul 11, 2019 · Control person joined · fact
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
- Firm profile
- au.linkedin.com/company/first-sentier-groupreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/first-sentier-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- firstsentierinvestors.com.aureportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 61 2 9010 5200reportedpublic record, Form ADV, Apr 23, 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