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) Im Limited
Latest filing Mar 31, 2026
First filing on the tape Sep 16, 2015 · 33 filings
SEC status approved since Sep 23, 2015
RAUM
$13B
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
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$13B as of Mar 31, 2026
Sep 29, 2016$4.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Sep 29, 20160 then
Employees (5.A)314 as of Mar 31, 2026
Sep 29, 2016336 then
Private funds: no history
RAUM -26% over the last fiscal year-14% 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
- $553MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%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
- -26%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 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$13B96%
- Investment companies$343M2.6%
- Sovereign wealth funds$170M1.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- 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=0.99 institutional_share=0.01 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
- Nicholas Gary Cotton · Managing Director Emea, Chief Of Staff And Chairmancontrolsince 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%
- Vicky Wai-Choo Kubitscheck · Non-Executive Directorcontrolsince 07/2018 · owns less than 5%
- David Mark Steinberg · Global Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- Jane Lisa Warburton · Group General Counselcontrolsince 03/2022 · owns less than 5%
- Elaine Christine Johnson · Independent Non-Executive Directorsince 03/2021 · owns less than 5%
Entity owners
- First Sentier Investors Uk Holdings Limited · Shareholderdirect · owns 75% or more
- First Sentier Investors Holdings Pty Limited · Shareholderindirect · owns 75% or more of First Sentier 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 advisern
- 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 (US) LLCinvestment advisernRAUM $969M
- First Sentier Investors International Im Limitedinvestment adviseryRAUM $16B
- First Sentier Investors Realindex Pty Limitedinvestment advisern
- Mitsubishi Ufj Trust And Banking Corporationinvestment adviserinvestment companyreal estateyRAUM $407B
Advisers that list First Sentier Investors (Uk) Im Limited as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom44 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 $17,969,990,043 to $13,271,630,276 (-26.0%) 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) · 3.3% percentile
What changed
consecutive filings, newest first
- Accounts · 30 to 24Jul 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 · 26 to 21Jul 29, 2025 to Mar 31, 2026
- Employees · 344 to 314Jul 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $18B to $13BJul 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $17B to $13BJul 29, 2025 to Mar 31, 2026
- RAUM · $18B to $13BJul 29, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 29, 2025
- Advisory employees · 69 to 63Dec 19, 2024 to Mar 31, 2025
- Pension plan clients · 2.0 to unsetDec 19, 2024 to Mar 31, 2025
- Pooled vehicle clients · 28 to 26Dec 19, 2024 to Mar 31, 2025
- Employees · 368 to 344Dec 19, 2024 to Mar 31, 2025
- HQ state · unset to Dec 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $19B to $18BDec 19, 2024 to Mar 31, 2025
- Pension RAUM · 155878151.0 to unsetDec 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $19B to $17BDec 19, 2024 to Mar 31, 2025
- RAUM · $19B to $18BDec 19, 2024 to Mar 31, 2025
- Accounts · 34 to 30Aug 28, 2023 to Mar 14, 2024
- Advisory employees · 62 to 69Aug 28, 2023 to Mar 14, 2024
- Corporate clients · 1.0 to unsetAug 28, 2023 to Mar 14, 2024
- Pension plan clients · 1 to 2Aug 28, 2023 to Mar 14, 2024
- Pooled vehicle clients · 32 to 28Aug 28, 2023 to Mar 14, 2024
- Employees · 377 to 368Aug 28, 2023 to Mar 14, 2024
- Discretionary RAUM · $21B to $19BAug 28, 2023 to Mar 14, 2024
- Pension RAUM · $150M to $156MAug 28, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $20B to $19BAug 28, 2023 to Mar 14, 2024
- RAUM · $21B to $19BAug 28, 2023 to Mar 14, 2024
- Accounts · 41 to 34Mar 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
- Charity clients · 1.0 to unsetMar 31, 2022 to Mar 31, 2023
- Corporate clients · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 36 to 32Mar 31, 2022 to Mar 31, 2023
- Employees · 378 to 377Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $27B to $21BMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $676M to $150MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $26B to $20BMar 31, 2022 to Mar 31, 2023
- RAUM · $27B to $21BMar 31, 2022 to Mar 31, 2023
Signals
21 dated events
- First Sentier Investors (Uk) Im Limited reported RAUM $13.3B, down 26% from $18.0B (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) Im 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) Im LimitedMay 9, 2023 · Control person joined · fact
- Francis Cyril Johnson (Non- Executive Director) no longer on Schedule A of First Sentier Investors (Uk) Im Limited (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Scott Allen (Emea Head Of Legal) no longer on Schedule A of First Sentier Investors (Uk) Im 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) Im Limited (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Jane Lisa Warburton (Group General Counsel) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedMar 31, 2023 · Control person joined · fact
- Daniel Shayne Salter (Head Of Finance Emea) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedMar 31, 2022 · Control person joined · fact
- Richard Christian Turpin (Emea Managing Director) no longer on Schedule A of First Sentier Investors (Uk) Im Limited (listed 2021-03-25, 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) Im LimitedMar 25, 2021 · Control person joined · fact
- Clare Suzanne Evans (Global Chief Financial Officer) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedMar 25, 2021 · Control person joined · fact
- Carleton Richard Wastcoat (Non- Executive Director) no longer on Schedule A of First Sentier Investors (Uk) Im Limited (listed 2020-06-30, absent 2020-10-07)Oct 7, 2020 · Control person left · inference
- Thomas Paul Griffiths (Director) no longer on Schedule A of First Sentier Investors (Uk) Im Limited (listed 2020-03-30, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- David Mark Steinberg (Chief Executive Officer) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedMar 30, 2020 · Control person joined · fact
- Johan Kerry Thirkell (Chief Compliance Officer) no longer on Schedule A of First Sentier Investors (Uk) Im Limited (listed 2019-09-03, absent 2019-11-19)Nov 19, 2019 · Control person left · inference
- John Peter Hawkins (Chief Compliance Officer) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedNov 19, 2019 · Control person joined · fact
- Patrick John Adrian Hilderly (Chief Compliance Officer) no longer on Schedule A of First Sentier Investors (Uk) Im 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) Im 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) Im LimitedSep 2, 2019 · Control person joined · fact
- Scott Allen (Executive Legal Counsel) appeared on Schedule A of First Sentier Investors (Uk) Im LimitedSep 2, 2019 · Control person joined · fact
- First State Investment Management (Uk) Limited filed its initial SEC registration (Form ADV)Sep 16, 2015 · 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 (0)131 473 2200reportedpublic 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