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

State Street Global Advisors Asia Limited

Former SEC-registered adviserCentral, CRD 172364SEC 801-80267IAPD
Latest filing May 14, 2019
First filing on the tape Aug 22, 2014 · 14 filings
RAUM
$39B
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
55
37 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$39B as of Mar 29, 2019
Mar 30, 2016$65B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20160 then
Employees (5.A)55 as of Mar 29, 2019
Mar 30, 201649 then
Private funds: no history
RAUM -32% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 14, 2019; 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
$703MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
71%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
-32%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, educational seminarsreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Sovereign wealth funds$27B70%
  • Pooled investment vehicles$11B29%
  • Pension and profit-sharing plans$551M1.4%
  • Insurance companies$66.5M0.2%
  • Investment companies$20.2M0.1%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
4reported
Charitable clients
0reported
Accounts
55reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • David Kevin Anderson · Directorcontrol
        since 05/2015 · owns less than 5%
      • Anthony Louis Boscia · Directorcontrol
        since 12/2016 · owns less than 5%
      • Wai Man June Wong · Directorcontrol
        since 08/2016 · owns less than 5%
      • Y T Juanita Li · Chief Compliance Officer
        since 10/2017 · owns less than 5%
      Entity owners
      • State Street Global Advisors, Inc. · Owner
        direct · owns 75% or more
      • State Street Corporation · Owner
        indirect · owns 75% or more of State Street Global Advisors, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      • Ssga Funds Management, Inc.
        investment adviserbankpooled vehicle sponsornRAUM $1421B
      • State Street Bank And Trust Company
        investment adviserLP sponsorCPO or CTAcustodiann
      • State Street Bank And Trust Company (Hong Kong Branch)
        custodiann
      • State Street Global Advisors (Japan) Co., Ltd
        investment advisern
      • State Street Global Advisors Ag
        investment advisern
      • State Street Global Advisors Australia Limited
        investment advisern
      • State Street Global Advisors Australia Services Limited
        investment advisern
      • State Street Global Advisors France, S.A.
        investment advisern
      • State Street Global Advisors Funds Distributors, LLC
        broker-dealern
      • State Street Global Advisors Gmbh
        investment advisern
      • State Street Global Advisors Ireland Limited
        investment advisern
      • State Street Global Advisors Limited
        investment advisernRAUM $424B
      • State Street Global Advisors Singapore Limited
        investment advisern
      • State Street Global Advisors, Ltd
        investment advisern
      • State Street Securities Hong Kong Limited
        broker-dealern
      • State Street Trust (Hk) Limited
        custodiann
      Advisers that list State Street Global Advisors 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 · 65 to 55
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 28 to 37
        Mar 29, 2018 to Mar 29, 2019
      • Advisory activities · 5 to 4
        Mar 29, 2018 to Mar 29, 2019
      • Pension plan clients · 6 to 4
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 4
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 60 to 55
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $55B to $39B
        Mar 29, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $2.3B to $0
        Mar 29, 2018 to Mar 29, 2019
      • Pension RAUM · $3.9B to $551M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $13B to $11B
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $57B to $39B
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 89 to 65
        Feb 12, 2018 to Mar 29, 2018
      • Advisory employees · 37 to 28
        Feb 12, 2018 to Mar 29, 2018
      • Pooled vehicle clients · 3 to 2
        Feb 12, 2018 to Mar 29, 2018
      • Employees · 77 to 60
        Feb 12, 2018 to Mar 29, 2018
      • Discretionary RAUM · $61B to $55B
        Feb 12, 2018 to Mar 29, 2018
      • Non-discretionary RAUM · $1.7B to $2.3B
        Feb 12, 2018 to Mar 29, 2018
      • Pension RAUM · $2.6B to $3.9B
        Feb 12, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $11B to $13B
        Feb 12, 2018 to Mar 29, 2018
      • RAUM · $62B to $57B
        Feb 12, 2018 to Mar 29, 2018
      • Charity clients · unset to 0.0
        May 31, 2017 to Feb 12, 2018
      • Corporate clients · unset to 0.0
        May 31, 2017 to Feb 12, 2018
      • HNW clients · unset to 0.0
        May 31, 2017 to Feb 12, 2018
      • Individual clients · unset to 0.0
        May 31, 2017 to Feb 12, 2018
      • Pension plan clients · unset to 6.0
        May 31, 2017 to Feb 12, 2018
      • Pooled vehicle clients · unset to 3.0
        May 31, 2017 to Feb 12, 2018
      • Financial planning clients · unset to 0
        May 31, 2017 to Feb 12, 2018
      • Other offices · unset to 0.0
        May 31, 2017 to Feb 12, 2018
      • Pension RAUM · unset to 2622903276.0
        May 31, 2017 to Feb 12, 2018
      • Pooled vehicle RAUM · unset to 10586067619.0
        May 31, 2017 to Feb 12, 2018
      • Accounts · 26 to 89
        Aug 29, 2016 to Mar 31, 2017
      • Advisory employees · 20 to 37
        Aug 29, 2016 to Mar 31, 2017
      • Employees · 49 to 77
        Aug 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $74B to $61B
        Aug 29, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $0 to $1.7B
        Aug 29, 2016 to Mar 31, 2017
      • RAUM · $74B to $62B
        Aug 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $65B to $74B
        Mar 30, 2016 to Apr 1, 2016
      • RAUM · $65B to $74B
        Mar 30, 2016 to Apr 1, 2016
      • Accounts · 27 to 26
        Feb 11, 2016 to Mar 30, 2016
      • Discretionary RAUM · $92B to $65B
        Feb 11, 2016 to Mar 30, 2016
      Signals
      4 dated events
      • Keith James Macnevin (Director) no longer on Schedule A of State Street Global Advisors Asia Limited (listed 2019-04-02, absent 2019-05-14)
        May 14, 2019 · Control person left · inference
      • State Street Global Advisors Asia Limited reported RAUM $38.7B, down 32% from $57.2B (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Cameron Lochiel Crafter (Director) no longer on Schedule A of State Street Global Advisors Asia Limited (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • State Street Global Advisors Asia Limited filed its initial SEC registration (Form ADV)
        Aug 22, 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.
      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