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 (Uk) Funds Limited
Latest filing Mar 31, 2026
First filing on the tape May 20, 2014 · 35 filings
SEC status approved since May 27, 2014
RAUM
$12B
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
314
50 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2026
Sep 24, 2014$30B then
HNW client RAUM$0 as of Mar 31, 2026
Sep 5, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Sep 24, 20140 then
Employees (5.A)314 as of Mar 31, 2026
Sep 24, 2014265 then
Private funds1 as of Mar 31, 2026
Sep 24, 20145 then
RAUM -28% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $698MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%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 pooled vehiclesreportedItem 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$12B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Stewart Investors Global Emerging Markets Leaders Sustainability Fund (Dst) | Other Private Fund | $399M | 87 | Mar 30, 2012 |
| Mahout Asia Pacific Leaders Fund Dstno longer reported | Other Private Fund | $103M | 11 | Mar 30, 2012 |
| Stewart Investors Worldwide Sustainability Fund Dst | Other Private Fund | $62.9M | 20 | Apr 12, 2016 |
| Mahout Global Emerging Markets Leaders Fund Gtno longer reported | Other Private Fund | $41.4M | 5 | Mar 30, 2012 |
| First State Investments Global Listed Infrastructure Fund Dstno longer reported | Other Private Fund | $6.4M | 2 | Apr 12, 2013 |
| First State Investments Global Property Securities Fund Dstno longer reported | Other Private Fund | $6.4M | 2 | Sep 27, 2012 |
| Stewart Investors Worldwide Leaders Fund Dstno longer reported | Other Private Fund | $0 | 0 | Apr 12, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Gary Cotton · Managing Director, Emea & Chief Of Staffcontrolsince 12/2020 · owns less than 5%
- Philippa Louise Jane Daniel · Director And Chief Risk Officercontrolsince 04/2023 · owns less than 5%
- Clare Suzanne Evans · Global Chief Financial And Strategy Officercontrolsince 01/2021 · owns less than 5%
- Renee Amanda Gazal · Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- John Peter Hawkins · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- Jane Lisa Warburton · Group General Counselcontrolsince 03/2023 · owns less than 5%
- Francis Cyril Johnson · Chairmansince 11/2022 · owns less than 5%
- Vicky Wai-Choo Kubitscheck · Independent Non-Executive Directorsince 07/2018 · owns less than 5%
- Jacqueline Lowe · Independent Non-Executive Directorsince 08/2021 · owns less than 5%
Entity owners
- First Sentiers Investors Uk Holdings Limited · Shareholderdirect · owns 75% or more
- First Sentier Investors Holdings Pty Limited · Shareholderindirect · owns 75% or more of First Sentiers Investors Uk Holdings Limited
- Mitsubishi Ufj Financial Group, Inc · Shareholderindirect · owns 75% or more of Mitsubishi Ufj Trust And Banking Corporation
- Mitsubishi Ufj Trust And Banking Corporation · Shareholderindirect · owns 75% or more of First Sentier Investors Holdings Pty Limited
Related persons
Schedule D 7.A
- Albacore Capital Llpinvestment advisern
- First Sentier Investorsinvestment advisernRAUM $5.4B
- First Sentier Investorsinvestment advisernRAUM $53B
- 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 (Japan) Limitedinvestment advisern
- First Sentier Investors (Singapore)investment advisernRAUM $11B
- First Sentier Investors (Uk) Im Limitedinvestment advisernRAUM $13B
- First Sentier Investors (US) LLCinvestment adviserbanknRAUM $969M
- First Sentier Investors International Im Limitedinvestment advisernRAUM $16B
- First Sentier Investors Realindex Pty Ltdinvestment advisern
- Mitsubishi Ufj Trust And Banking Corporationinvestment adviserinvestment companyreal estateyRAUM $407B
Advisers that list First Sentier Investors (Uk) Funds Limited as a related person
Offices
Schedule D 1.F, the 25 largest
- Edinburgh Scotland, United Kingdom15 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-07-29, no on the filing of 2026-03-31peers: asset managers, $5B to $20B (684)
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $16,424,432,217 to $11,867,570,451 (-28.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +13.0% (631 comparable advisers, 3.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 2.7% percentile
What changed
consecutive filings, newest first
- Accounts · 20 to 17Jul 29, 2025 to Mar 31, 2026
- Advisory employees · 63 to 50Jul 29, 2025 to Mar 31, 2026
- BD registered reps · 2 to 0Jul 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 20 to 17Jul 29, 2025 to Mar 31, 2026
- Employees · 344 to 314Jul 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $16B to $12BJul 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $16B to $12BJul 29, 2025 to Mar 31, 2026
- RAUM · $16B to $12BJul 29, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 29, 2025
- Private funds · 2 to 1Mar 31, 2025 to Jul 29, 2025
- Accounts · 25 to 20Feb 24, 2025 to Mar 31, 2025
- Advisory employees · 69 to 63Feb 24, 2025 to Mar 31, 2025
- Pooled vehicle clients · 25 to 20Feb 24, 2025 to Mar 31, 2025
- Employees · 368 to 344Feb 24, 2025 to Mar 31, 2025
- Discretionary RAUM · $18B to $16BFeb 24, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $18B to $16BFeb 24, 2025 to Mar 31, 2025
- RAUM · $18B to $16BFeb 24, 2025 to Mar 31, 2025
- HQ state · unset to Nov 26, 2024 to Feb 24, 2025
- Accounts · 26 to 25Jul 17, 2023 to Mar 14, 2024
- Advisory employees · 62 to 69Jul 17, 2023 to Mar 14, 2024
- Pooled vehicle clients · 26 to 25Jul 17, 2023 to Mar 14, 2024
- Employees · 377 to 368Jul 17, 2023 to Mar 14, 2024
- Private funds · 3 to 2Jul 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $18B to $18BJul 17, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $18B to $18BJul 17, 2023 to Mar 14, 2024
- RAUM · $18B to $18BJul 17, 2023 to Mar 14, 2024
- Accounts · 30 to 26Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 59 to 62Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 0 to 2Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 30 to 26Mar 31, 2022 to Mar 31, 2023
- Employees · 378 to 377Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $23B to $18BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $23B to $18BMar 31, 2022 to Mar 31, 2023
- RAUM · $23B to $18BMar 31, 2022 to Mar 31, 2023
- Accounts · 3 to 30Jan 31, 2022 to Mar 31, 2022
- Advisory employees · 56 to 59Jan 31, 2022 to Mar 31, 2022
- Pooled vehicle clients · 3 to 30Jan 31, 2022 to Mar 31, 2022
- Employees · 362 to 378Jan 31, 2022 to Mar 31, 2022
- Discretionary RAUM · $199M to $23BJan 31, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $199M to $23BJan 31, 2022 to Mar 31, 2022
Signals
26 dated events
- First Sentier Investors (Uk) Funds Limited reported RAUM $11.9B, down 28% from $16.4B (2025-07-29 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Renee Amanda Gazal (Chief Operating Officer) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 14, 2024 · Control person joined · fact
- Philippa Louise Jane Daniel (Director And Global Chief Risk Officer) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMay 9, 2023 · Control person joined · fact
- Clare Wood (Director) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2023-03-31, absent 2023-05-09)May 9, 2023 · Control person left · inference
- Scott Allen (Executive Legal Counsel) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Duncan Terrence Yodaiken (Director, Head Of Distribution Business Support & Governance) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Daniel Shayne Salter (Head Of Finance Emea) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Clare Suzanne Evans (Global Chief Financial Officer) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 31, 2023 · Control person joined · fact
- Jane Lisa Warburton (Group General Counsel) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 31, 2023 · Control person joined · fact
- First Sentier Investors (Uk) Funds Limited reported RAUM $23.0B, up 11460% from $198.7M (2022-01-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Daniel Shayne Salter (Head Of Finance Emea) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 31, 2022 · Control person joined · fact
- John Adrian Hilderly (Director) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2022-01-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Richard Christian Turpin (Emea Managing Director) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2021-03-29, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Nicholas Gary Cotton (Uk Managing Director) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 29, 2021 · Control person joined · fact
- Carleton Richard Wastcoat (Non-Executive Director) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2020-10-13, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- John Adrian Hilderly (Director) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 30, 2020 · Control person joined · fact
- Clare Wood (Director, Global Head Of Product) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 30, 2020 · Control person joined · fact
- Duncan Terrence Yodaiken (Director, Head Of Distribution Business Support & Governance) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedMar 30, 2020 · Control person joined · fact
- John Peter Hawkins (Chief Compliance Officer) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedNov 19, 2019 · Control person joined · fact
- Johan Kerry Thirkell (Chief Compliance Officer) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2019-09-03, absent 2019-11-19)Nov 19, 2019 · Control person left · inference
- Patrick John Adrian Hilderly (Chief Compliance Officer, Director) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2018-11-05, absent 2019-09-02)Sep 2, 2019 · Control person left · inference
- Ann Caroline Donald (Executive Legal Counsel) no longer on Schedule A of First Sentier Investors (Uk) Funds Limited (listed 2018-11-05, absent 2019-09-02)Sep 2, 2019 · Control person left · inference
- Johan Kerry Thirkell (Chief Compliance Officer) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedSep 2, 2019 · Control person joined · fact
- Scott Allen (Executive Legal Counsel) appeared on Schedule A of First Sentier Investors (Uk) Funds LimitedSep 2, 2019 · Control person joined · fact
- First Sentier Investors (Uk) Funds Limited reported RAUM $201.6M, down 40% from $334.5M (2018-07-18 to 2018-09-05)Sep 5, 2018 · RAUM change · derived
- First State Investments (Uk) Limited filed its initial SEC registration (Form ADV)May 20, 2014 · First SEC registration · 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
- Website
- firstsentiergroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 44-207-332-6500reportedpublic record, Form ADV, Mar 31, 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