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
Vanguard Investments Australia Limited
Latest filing May 20, 2025
First filing on the tape Apr 22, 2016 · 31 filings
SEC status approved since May 19, 2016
RAUM
$92B
reported, Item 5.F
Discretionary
99%
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
110
55 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$92B as of May 20, 2025
Mar 31, 2017$86B then
HNW client RAUM$0 as of May 20, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of May 20, 2025
Mar 31, 20170 then
Employees (5.A)110 as of May 20, 2025
Mar 31, 2017406 then
Private funds1 as of May 20, 2025
Mar 30, 20204 then
RAUM +10% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2025; 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
- $973MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.5%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
- +10%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, pension consultingreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$91B99%
- Pension and profit-sharing plans$1.4B1.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 26reported
- Charitable clients
- 0reported
- Accounts
- 95reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Vanguard Total China Etfno longer reported | Other Private Fund | $1.7B | 15 | Mar 30, 2020 |
| Vanguard Active Global Growth Fundno longer reported | Other Private Fund | $37.0M | 13 | Mar 30, 2020 |
| Vanguard Active Emerging Market Equity Fund | Other Private Fund | $11.0M | 9 | Mar 30, 2020 |
| Vanguard Active Positive Impact Fund | Other Private Fund | $7.0M | 3 | Mar 31, 2023 |
| Vanguard Active Global Credit Bond Fundno longer reported | Other Private Fund | $1.7M | 6 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Wesley John Bendl · Directorcontrolsince 02/2022 · owns less than 5%
- Wayne Brian Dvorak · Directorcontrolsince 07/2024 · owns less than 5%
- Alan Curtis Jacques · Directorcontrolsince 02/2022 · owns less than 5%
- Jane Tasha Manktelow · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- Joseph John Oberlies · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- Leanne Kim Petersen · Directorcontrolsince 02/2022 · owns less than 5%
- Raymond Daniel Shrimski · Chairman, Directorcontrolsince 02/2022 · owns less than 5%
Entity owners
- Belleisle LLC · Stockholderdirect · owns 75% or more
- Vanguard Group Inc · Stockholderindirect · owns 75% or more of Zealous, Inc
- Vanguard Index Funds · Stockholderindirect · owns 25% to 50% of Vanguard Group Inc
- Zealous, Inc · Stockholderindirect · owns 75% or more of Belleisle LLC
Related persons
Schedule D 7.A
- Vanguard Group Incinvestment adviserbankpooled vehicle sponsoryRAUM $11093B
- Vanguard Asset Management, Limitedinvestment advisernRAUM $483B
- Vanguard Global Advisers, LLCinvestment advisernRAUM $250B
- Vanguard Group (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Vanguard Group Europe Gmbhbroker-dealern
- Vanguard Investments Canada Inc.broker-dealerinvestment adviserbankpooled vehicle sponsorn
- Vanguard Investments Uk, Limitedinvestment advisern
- Vanguard Marketing Corporationbroker-dealern
- Vanguard Super Pty LtdLP sponsorn
- Vgi Insurance, Inc.real estaten
- Vgim, S.A. De C.V., Asesor En Inversiones Independienteinvestment adviserpooled vehicle sponsorn
Advisers that list Vanguard Investments Australia Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 94 to 95Feb 12, 2025 to Apr 30, 2025
- Advisory employees · 56 to 55Feb 12, 2025 to Apr 30, 2025
- Pooled vehicle clients · 68 to 69Feb 12, 2025 to Apr 30, 2025
- Employees · 136 to 110Feb 12, 2025 to Apr 30, 2025
- Private funds · 2 to 1Feb 12, 2025 to Apr 30, 2025
- Discretionary RAUM · $83B to $91BFeb 12, 2025 to Apr 30, 2025
- Non-discretionary RAUM · $610M to $1.4BFeb 12, 2025 to Apr 30, 2025
- Pension RAUM · $610M to $1.4BFeb 12, 2025 to Apr 30, 2025
- Pooled vehicle RAUM · $83B to $91BFeb 12, 2025 to Apr 30, 2025
- RAUM · $84B to $92BFeb 12, 2025 to Apr 30, 2025
- HQ state · unset to Dec 19, 2024 to Jan 22, 2025
- Accounts · 89 to 94Aug 3, 2023 to Mar 27, 2024
- Advisory employees · 59 to 56Aug 3, 2023 to Mar 27, 2024
- Pension plan clients · 13 to 26Aug 3, 2023 to Mar 27, 2024
- Pooled vehicle clients · 76 to 68Aug 3, 2023 to Mar 27, 2024
- Employees · 146 to 136Aug 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $74B to $83BAug 3, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $151M to $610MAug 3, 2023 to Mar 27, 2024
- Pension RAUM · $151M to $610MAug 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $74B to $83BAug 3, 2023 to Mar 27, 2024
- RAUM · $75B to $84BAug 3, 2023 to Mar 27, 2024
- Accounts · 62 to 89Dec 8, 2022 to Mar 31, 2023
- Advisory employees · 60 to 59Dec 8, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Dec 8, 2022 to Mar 31, 2023
- Pension plan clients · 0 to 13Dec 8, 2022 to Mar 31, 2023
- Pooled vehicle clients · 62 to 76Dec 8, 2022 to Mar 31, 2023
- Employees · 300 to 146Dec 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $85B to $74BDec 8, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $151MDec 8, 2022 to Mar 31, 2023
- Pension RAUM · $0 to $151MDec 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $85B to $74BDec 8, 2022 to Mar 31, 2023
- RAUM · $85B to $75BDec 8, 2022 to Mar 31, 2023
- Accounts · 77 to 62Mar 1, 2022 to Mar 31, 2022
- Advisory employees · 70 to 60Mar 1, 2022 to Mar 31, 2022
- Advisory activities · 2 to 1Mar 1, 2022 to Mar 31, 2022
- Pension plan clients · 11 to 0Mar 1, 2022 to Mar 31, 2022
- Pooled vehicle clients · 61 to 62Mar 1, 2022 to Mar 31, 2022
- Private funds · 3 to 2Mar 1, 2022 to Mar 31, 2022
- Discretionary RAUM · $138B to $85BMar 1, 2022 to Mar 31, 2022
- Pension RAUM · $64B to $0Mar 1, 2022 to Mar 31, 2022
Signals
31 dated events
- Vanguard Investments Australia Limited no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $92.4B)Aug 1, 2025 · Left the SEC roster · derived
- Bernard Sean Hughes (Chief Compliance Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2024-08-06, absent 2024-09-17)Sep 17, 2024 · Control person left · inference
- Jane Tasha Manktelow (Chief Compliance Officer) appeared on Schedule A of Vanguard Investments Australia LimitedSep 17, 2024 · Control person joined · fact
- Wayne Brian Dvorak (Director) appeared on Schedule A of Vanguard Investments Australia LimitedAug 6, 2024 · Control person joined · fact
- Achala Nuvan Siriwardhane (Chief Compliance Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2023-03-31, absent 2023-07-25)Jul 25, 2023 · Control person left · inference
- Sean Hughes (Chief Compliance Officer) appeared on Schedule A of Vanguard Investments Australia LimitedJul 25, 2023 · Control person joined · fact
- Joseph John Oberlies (Chief Financial Officer) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2023 · Control person joined · fact
- Johanna Platt (Chief Financial Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2022-12-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Davis Christopher Mcisaac (Director) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2022-03-01, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Aloysius Francis Kolimago (Director, Principal) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2022-03-01, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Vanguard Investments Australia Limited reported RAUM $85.0B, down 39% from $138.3B (2022-03-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Raymond Daniel Shrimski (Chairman, Director) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2022 · Control person joined · fact
- John Bendl (Director) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2022 · Control person joined · fact
- Alan Curtis Jacques (Director) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2022 · Control person joined · fact
- Leanne Kim Petersen (Director) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2022 · Control person joined · fact
- Cynthia Lui (Director) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2020-11-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Maria Josephine Luppino (Compliance Manager) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2020-11-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Achala Nuvan Siriwardhane (Chief Compliance Officer) appeared on Schedule A of Vanguard Investments Australia LimitedMar 31, 2021 · Control person joined · fact
- Maria Josephine Luppino (Compliance Manager) appeared on Schedule A of Vanguard Investments Australia LimitedNov 6, 2020 · Control person joined · fact
- Davis Christopher Mcisaac (Director) appeared on Schedule A of Vanguard Investments Australia LimitedNov 6, 2020 · Control person joined · fact
- Maurice James Norris (Director) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2020-06-08, absent 2020-11-06)Nov 6, 2020 · Control person left · inference
- Ashley Warmbrand (Head Of Legal And Compliance, Chief Compliance Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2020-06-08, absent 2020-11-06)Nov 6, 2020 · Control person left · inference
- Raymond Daniel Shrimski (Chief Financial Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2020-03-30, absent 2020-06-08)Jun 8, 2020 · Control person left · inference
- Aloysius Francis Kolimago (Director, Principal) appeared on Schedule A of Vanguard Investments Australia LimitedMar 30, 2020 · Control person joined · fact
- Vanguard Investments Australia Limited reported RAUM $133.1B, up 27% from $104.7B (2019-03-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Lucy Carr (Director And Principal) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2019-03-30, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Ashley Warmbrand (Chief Compliance Officer) appeared on Schedule A of Vanguard Investments Australia LimitedFeb 15, 2019 · Control person joined · fact
- Edgar Ian Dent (Chief Compliance Officer) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2019-01-07, absent 2019-02-15)Feb 15, 2019 · Control person left · inference
- Michael Colin Kelton (Managing Director) no longer on Schedule A of Vanguard Investments Australia Limited (listed 2018-05-09, absent 2019-01-07)Jan 7, 2019 · Control person left · inference
- Vanguard Investments Australia Limited reported RAUM $115.6B, up 34% from $85.9B (2017-09-26 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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