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
First Sentier Investors (US) LLC
Latest filing May 27, 2026
First filing on the tape Apr 10, 2015 · 43 filings
SEC status approved since Apr 20, 2015
RAUM
$969M
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
44
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$969M as of May 27, 2026
Sep 28, 2015$79.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 27, 2026
Sep 28, 20150 then
Employees (5.A)44 as of May 27, 2026
Sep 28, 201527 then
Private funds8 as of May 27, 2026
Sep 28, 20152 then
RAUM +5.0% over the last fiscal year+110% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 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
- $88.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +5.0%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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$825M85%
- Investment companies$143M15%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=9.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Fssa China Equity Fund | Other Private Fund | $20.9M | 4 | Sep 26, 2016 |
| Indian Subcontinent Seriesno longer reported | Other Private Fund | $270,000 | 1 | Sep 6, 2017 |
| Strategic Core Fixed Income Seriesno longer reported | Hedge Fund | $200,000 | 2 | Jun 8, 2015 |
| Strategic Absolute Return Fixed Income Seriesno longer reported | Hedge Fund | $200,000 | 2 | Jun 8, 2015 |
| Fssa Japan Focus Fund | Other Private Fund | $0 | 0 | Sep 26, 2016 |
| First Sentier Property Securities Fund | Other Private Fund | $0 | 0 | Feb 1, 2016 |
| First Sentier Emerging Market Debt-Hard Currency Fundno longer reported | Other Private Fund | $0 | 0 | Feb 1, 2016 |
| First Sentier Global Listed Infrastructure Fund | Other Private Fund | $0 | 0 | Feb 1, 2016 |
| Fssa Global Emerging Markets Focus Fund | Other Private Fund | $0 | 0 | Mar 30, 2023 |
| Fssa Asia Pacific Fund | Other Private Fund | $0 | 0 | Sep 26, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Bachar Beaini · Managing Director And Directorcontrolsince 08/2019 · owns less than 5%
- Thomas James Fisher · Directorcontrolsince 01/2022 · owns less than 5%
- Andrew Kevin Mcguire · Head Of Legalcontrolsince 07/2016 · owns less than 5%
- Kenjiro Muramatsu · Head Of US Governance/Directorcontrolsince 04/2022 · owns less than 5%
- Anthony Noel O'Brien · Deputy Cfo/Directorcontrolsince 02/2023 · owns less than 5%
- Edwin Jeffrey Schmidt · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
Entity owners
- Mufg Fund Services (USA) LLC · Memberdirect · owns 75% or more
- Mitsubishi Ufj Financial Group, Inc. · Shareholderindirect · owns 75% or more of Mufg Bank Ltd · public reporting company
- Mufg Americas Holdings Corporation · Memberindirect · owns 75% or more of Mufg Fund Services (USA) LLC · public reporting company
- Mufg Bank Ltd · Shareholderindirect · owns 75% or more of Mufg Americas Holdings Corporation
Related persons
Schedule D 7.A
- First Sentier Investorsinvestment advisernRAUM $5.4B
- First Sentier Investorsinvestment advisernRAUM $53B
- First Sentier Investors (Australia) Infrastructure Holdings Ltdinvestment advisern
- First Sentier Investorsinvestment advisernRAUM $3.6B
- First Sentier Investorsinvestment advisernRAUM $6.8B
- First Sentier Investors (Hong Kong) Limitedinvestment advisernRAUM $33B
- First Sentier Investors (Ireland) Limitedinvestment advisernRAUM $28B
- First Sentier Investors (Singapore)investment advisernRAUM $11B
- First Sentier Investors (Uk) Funds Limitedinvestment advisernRAUM $12B
- First Sentier Investors (Uk) Im Limitedinvestment advisernRAUM $13B
- First Sentier Investors (US) Infrastructure Gp LLCpooled vehicle sponsory
- First Sentier Investors International Im Limitedinvestment advisernRAUM $16B
- Mitsubishi Ufj Trust And Banking Corporationinvestment adviserinvestment companyreal estateyRAUM $407B
Advisers that list First Sentier Investors (US) LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 11Jan 13, 2026 to Mar 31, 2026
- Advisory employees · 20 to 17Jan 13, 2026 to Mar 31, 2026
- BD registered reps · 14 to 9Jan 13, 2026 to Mar 31, 2026
- Pooled vehicle clients · 8 to 9Jan 13, 2026 to Mar 31, 2026
- Employees · 52 to 44Jan 13, 2026 to Mar 31, 2026
- Discretionary RAUM · $922M to $969MJan 13, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $796M to $825MJan 13, 2026 to Mar 31, 2026
- RAUM · $922M to $969MJan 13, 2026 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 31, 2025
- Accounts · 2 to 9Jun 21, 2024 to Mar 31, 2025
- Advisory employees · 21 to 20Jun 21, 2024 to Mar 31, 2025
- BD registered reps · 11 to 14Jun 21, 2024 to Mar 31, 2025
- Pooled vehicle clients · 0 to 8Jun 21, 2024 to Mar 31, 2025
- Employees · 49 to 52Jun 21, 2024 to Mar 31, 2025
- Private funds · 5 to 8Jun 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $116M to $922MJun 21, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $0 to $796MJun 21, 2024 to Mar 31, 2025
- RAUM · $116M to $922MJun 21, 2024 to Mar 31, 2025
- Advisory employees · 12 to 21Mar 28, 2024 to Jun 21, 2024
- Accounts · 3 to 2Feb 6, 2024 to Mar 28, 2024
- Advisory employees · 16 to 12Feb 6, 2024 to Mar 28, 2024
- Pooled vehicle clients · 1 to 0Feb 6, 2024 to Mar 28, 2024
- Employees · 44 to 49Feb 6, 2024 to Mar 28, 2024
- Private funds · 6 to 5Feb 6, 2024 to Mar 28, 2024
- Discretionary RAUM · $105M to $116MFeb 6, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $20.9M to $0Feb 6, 2024 to Mar 28, 2024
- RAUM · $105M to $116MFeb 6, 2024 to Mar 28, 2024
- Accounts · 9 to 3Mar 20, 2023 to Mar 30, 2023
- Advisory employees · 13 to 16Mar 20, 2023 to Mar 30, 2023
- BD registered reps · 12 to 11Mar 20, 2023 to Mar 30, 2023
- Pooled vehicle clients · 7 to 1Mar 20, 2023 to Mar 30, 2023
- Employees · 38 to 44Mar 20, 2023 to Mar 30, 2023
- Private funds · 5 to 6Mar 20, 2023 to Mar 30, 2023
- Discretionary RAUM · $2.2B to $105MMar 20, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $2.1B to $20.9MMar 20, 2023 to Mar 30, 2023
- RAUM · $2.2B to $105MMar 20, 2023 to Mar 30, 2023
- Accounts · 7 to 9Feb 2, 2022 to Mar 30, 2022
- Advisory employees · 12 to 13Feb 2, 2022 to Mar 30, 2022
- BD registered reps · 14 to 12Feb 2, 2022 to Mar 30, 2022
- Pooled vehicle clients · 5 to 7Feb 2, 2022 to Mar 30, 2022
Signals
22 dated events
- First Sentier Investors (Us) Llc reported RAUM $922.1M, up 692% from $116.4M (2024-06-21 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- First Sentier Investors (Us) Llc reported RAUM $105.2M, down 95% from $2.2B (2023-03-20 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Clare Suzanne Evans (Chief Financial Officer) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2023-03-20, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Noel O'Brien (Director) appeared on Schedule A of First Sentier Investors (Us) LlcMar 2, 2023 · Control person joined · fact
- Daniel Shayne Salter (Director) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2023-01-20, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- Edwin Jeffrey Schmidt (Chief Compliance Officer) appeared on Schedule A of First Sentier Investors (Us) LlcJun 29, 2022 · Control person joined · fact
- Samantha Rick (Chief Compliance Officer) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2022-05-05, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- Kenjiro Muramatsu (Head Of Us Governance/Director) appeared on Schedule A of First Sentier Investors (Us) LlcMay 5, 2022 · Control person joined · fact
- First Sentier Investors (Us) Llc reported RAUM $2.2B, up 128% from $954.3M (2022-02-02 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Thomas James Fisher (Director) appeared on Schedule A of First Sentier Investors (Us) LlcMar 30, 2022 · Control person joined · fact
- Yoshiki Ueno (Director) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2022-02-02, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Yoshiki Ueno (Director) appeared on Schedule A of First Sentier Investors (Us) LlcFeb 2, 2022 · Control person joined · fact
- Junichiro Taguchi (Director) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2021-03-29, absent 2022-02-02)Feb 2, 2022 · Control person left · inference
- First Sentier Investors (Us) Llc reported RAUM $954.3M, down 40% from $1.6B (2020-09-23 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Clare Suzanne Evans (Chief Financial Officer) appeared on Schedule A of First Sentier Investors (Us) LlcAug 23, 2019 · Control person joined · fact
- Junichiro Taguchi (Director) appeared on Schedule A of First Sentier Investors (Us) LlcAug 23, 2019 · Control person joined · fact
- Daniel Shayne Salter (Director) appeared on Schedule A of First Sentier Investors (Us) LlcAug 23, 2019 · Control person joined · fact
- Bachar Beaini (Acting Managing Director) appeared on Schedule A of First Sentier Investors (Us) LlcAug 23, 2019 · Control person joined · fact
- Michael Stephen Johnson (Head Of Us Fixed Income And Director) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2018-09-18, absent 2019-08-23)Aug 23, 2019 · Control person left · inference
- Ita Mary Pearse (Chief Financial Officer) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2018-09-18, absent 2019-08-23)Aug 23, 2019 · Control person left · inference
- Heather Brilliant (Managing Director) no longer on Schedule A of First Sentier Investors (Us) Llc (listed 2018-09-18, absent 2019-08-23)Aug 23, 2019 · Control person left · inference
- First State Investments (Us) Llc filed its initial SEC registration (Form ADV)Apr 10, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- First Sentier Investors (US) LLC · Independent Sponsorsshared crd · capital_provider
- First Sentier Investors (US) LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- stewartinvestors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-497-9980reportedpublic record, Form ADV, May 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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