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
Legal name First Sentier Investors (Australia) Re Ltd
Latest filing May 12, 2026
First filing on the tape Jul 21, 2016 · 58 filings
SEC status approved since Aug 16, 2016
RAUM
$6.8B
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
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$6.8B as of May 12, 2026
Sep 29, 2017$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 12, 2026
Sep 29, 20170 then
Employees (5.A)55 as of May 12, 2026
Sep 29, 201746 then
Private funds2 as of May 12, 2026
Sep 29, 20171 then
RAUM -14% over the last fiscal year-7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 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
- $273MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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 vehiclesreportedItem 5.G
- Custody
- $3.2B, 9 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.8B84%
- Pension and profit-sharing plans$623M9.1%
- Sovereign wealth funds$371M5.4%
- Corporations and businesses$54.9M0.8%
- Insurance companies$19.8M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.15 related_bd=true related_bank=true bd_reps=6.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| First Sentier Investors Infrastructure Income Fund/First Sentier Investors Active Infrastructure Income Fund | Private Equity Fund | $619M | 13 | Feb 22, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Lucinda Kate Dowling · Directorcontrolsince 05/2023 · owns less than 5%
- Clare Suzanne Evans · Chief Financial Officercontrolsince 08/2019 · owns less than 5%
- Renee Amanda Gazal · Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- Lauren Prendiville · Directorcontrolsince 05/2023 · owns less than 5%
- David Mark Steinberg · Chief Executive Officer, Directorcontrolsince 10/2018 · owns less than 5%
- Kathryn Emma Tetley · Chief Compliance Officer, Directorcontrolsince 07/2024 · owns less than 5%
- Jane Lisa Warburton · Group General Counselcontrolsince 04/2023 · owns less than 5%
Entity owners
- First Sentier Investors Holdings Pty Limited · Beneficial Ownerdirect · owns 75% or more
- Mitsubishi Ufj Financial Group, Inc. · Head Parent Companyindirect · owns 75% or more of Mitsubishi Ufj Trust And Banking Corporation · public reporting company
- Mitsubishi Ufj Trust And Banking Corporation · Shareholderindirect · owns 75% or more of First Sentier Investors Holdings Pty Limited
Related persons
Schedule D 7.A
- First Sentier Investorsinvestment advisernRAUM $5.4B
- First Sentier Investorsinvestment advisernRAUM $53B
- First Sentier Investorsinvestment advisernRAUM $3.6B
- 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) Funds Limitedinvestment advisernRAUM $12B
- First Sentier Investors (Uk) Im Limitedinvestment advisernRAUM $13B
- First Sentier Investors (US) LLCinvestment advisernRAUM $969M
- First Sentier Investors International Im Limitedinvestment advisernRAUM $16B
- First Sentier Investors Rqi Pty Ltdinvestment advisern
- Mitsubishi Ufj Trust And Banking Corporationinvestment adviserinvestment companyreal estateyRAUM $407B
Advisers that list First Sentier Investors as a related person
Offices
Schedule D 1.F, the 25 largest
- Ny, NY15 employees
- London, United Kingdom2 employees
- George Town, Grand Cayman, Cayman Islands
What changed
consecutive filings, newest first
- Accounts · 31 to 25Feb 25, 2026 to Mar 30, 2026
- Advisory employees · 43 to 30Feb 25, 2026 to Mar 30, 2026
- BD registered reps · 7 to 6Feb 25, 2026 to Mar 30, 2026
- Corporate clients · 2 to 1Feb 25, 2026 to Mar 30, 2026
- Pooled vehicle clients · 24 to 19Feb 25, 2026 to Mar 30, 2026
- Assets in custody · $2.8B to $3.2BFeb 25, 2026 to Mar 30, 2026
- Employees · 69 to 55Feb 25, 2026 to Mar 30, 2026
- Discretionary RAUM · $8.0B to $6.8BFeb 25, 2026 to Mar 30, 2026
- Pension RAUM · $574M to $623MFeb 25, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $7.0B to $5.8BFeb 25, 2026 to Mar 30, 2026
- RAUM · $8.0B to $6.8BFeb 25, 2026 to Mar 30, 2026
- Financial planning clients · unset to Jun 3, 2025 to Jul 7, 2025
- Accounts · 30 to 31Jan 8, 2025 to Apr 21, 2025
- Advisory employees · 41 to 43Jan 8, 2025 to Apr 21, 2025
- BD registered reps · 4 to 7Jan 8, 2025 to Apr 21, 2025
- Corporate clients · 1 to 2Jan 8, 2025 to Apr 21, 2025
- Pension plan clients · 6 to 3Jan 8, 2025 to Apr 21, 2025
- Pooled vehicle clients · 22 to 24Jan 8, 2025 to Apr 21, 2025
- Assets in custody · $2.4B to $2.8BJan 8, 2025 to Apr 21, 2025
- Custody of client assets · false to trueJan 8, 2025 to Apr 21, 2025
- Discretionary RAUM · $8.7B to $8.0BJan 8, 2025 to Apr 21, 2025
- Pension RAUM · $1.5B to $574MJan 8, 2025 to Apr 21, 2025
- Pooled vehicle RAUM · $7.1B to $7.0BJan 8, 2025 to Apr 21, 2025
- RAUM · $8.7B to $8.0BJan 8, 2025 to Apr 21, 2025
- HQ state · unset to Aug 29, 2024 to Jan 8, 2025
- Accounts · 31 to 30Feb 8, 2024 to Mar 26, 2024
- Advisory employees · 37 to 41Feb 8, 2024 to Mar 26, 2024
- BD registered reps · 0 to 4Feb 8, 2024 to Mar 26, 2024
- Corporate clients · unset to 1.0Feb 8, 2024 to Mar 26, 2024
- Pension plan clients · 7 to 6Feb 8, 2024 to Mar 26, 2024
- Assets in custody · $2.5B to $2.4BFeb 8, 2024 to Mar 26, 2024
- Employees · 61 to 69Feb 8, 2024 to Mar 26, 2024
- Discretionary RAUM · $8.6B to $8.7BFeb 8, 2024 to Mar 26, 2024
- Pension RAUM · $1.2B to $1.5BFeb 8, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $7.3B to $7.1BFeb 8, 2024 to Mar 26, 2024
- RAUM · $8.6B to $8.7BFeb 8, 2024 to Mar 26, 2024
- Accounts · 29 to 31Feb 22, 2023 to Mar 29, 2023
- Advisory employees · 35 to 37Feb 22, 2023 to Mar 29, 2023
- Corporate clients · 1.0 to unsetFeb 22, 2023 to Mar 29, 2023
- Pension plan clients · 8 to 7Feb 22, 2023 to Mar 29, 2023
Signals
21 dated events
- David Allen (Director) no longer on Schedule A of First Sentier Investors (listed 2024-03-26, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- Renee Amanda Gazal (Chief Operating Officer) appeared on Schedule A of First Sentier InvestorsFeb 8, 2024 · Control person joined · fact
- Nicholas Gary Cotton (Chief Operating Officer) no longer on Schedule A of First Sentier Investors (listed 2023-08-24, absent 2024-02-08)Feb 8, 2024 · Control person left · inference
- John Brian Hollingworth (Director) no longer on Schedule A of First Sentier Investors (listed 2023-03-29, absent 2023-05-03)May 3, 2023 · Control person left · inference
- Lucinda Kate Dowling (Director) appeared on Schedule A of First Sentier InvestorsMay 3, 2023 · Control person joined · fact
- Lauren Prendiville (Director) appeared on Schedule A of First Sentier InvestorsMay 3, 2023 · Control person joined · fact
- Jane Lisa Warburton (Acting Group General Counsel) appeared on Schedule A of First Sentier InvestorsNov 3, 2022 · Control person joined · fact
- Nicholas Gary Cotton (Chief Operating Officer) appeared on Schedule A of First Sentier InvestorsNov 3, 2022 · Control person joined · fact
- Ann Elizabeth Hastilow (Director And Chief Legal Officer) no longer on Schedule A of First Sentier Investors (listed 2022-05-04, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- Gordon Robert Scott (Chief Operating Officer) no longer on Schedule A of First Sentier Investors (listed 2022-05-04, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- First Sentier Investors reported RAUM $9.1B, up 27% from $7.2B (2021-11-11 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- David Allen (Director) appeared on Schedule A of First Sentier InvestorsMar 31, 2022 · Control person joined · fact
- Andrew Perry Clausen (Global Chief Investment Officer, Director) no longer on Schedule A of First Sentier Investors (listed 2021-11-11, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Kathryn Emma Tetley (Chief Compliance Officer) appeared on Schedule A of First Sentier InvestorsMar 29, 2021 · Control person joined · fact
- Giuseppe Flex (Chief Compliance Officer) no longer on Schedule A of First Sentier Investors (listed 2020-06-18, absent 2020-10-08)Oct 8, 2020 · Control person left · inference
- Geoffrey David Dixon (Director) no longer on Schedule A of First Sentier Investors (listed 2020-03-29, absent 2020-06-18)Jun 18, 2020 · Control person left · inference
- First Sentier Investors reported RAUM $5.6B, up 195% from $1.9B (2019-08-26 to 2019-09-30)Sep 30, 2019 · RAUM change · derived
- Craig Andrew Doyle (Chief Financial Officer) no longer on Schedule A of First Sentier Investors (listed 2019-07-03, absent 2019-08-26)Aug 26, 2019 · Control person left · inference
- Clare Suzanne Evans (Chief Financial Officer) appeared on Schedule A of First Sentier InvestorsAug 26, 2019 · Control person joined · fact
- Gordon Robert Scott (Chief Operating Officer) appeared on Schedule A of First Sentier InvestorsJul 3, 2019 · Control person joined · fact
- Colonial First State Global Asset Management filed its initial SEC registration (Form ADV)Jul 21, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- First Sentier Investors · Private Equityshared crd · organization
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, May 12, 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