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

Goldman Sachs Asset Management Australia Pty Ltd

Former SEC-registered adviserMelbourne, CRD 282984SEC 801-107632IAPD
Latest filing Jan 9, 2017
First filing on the tape Mar 30, 2016 · 4 filings
RAUM
$8.2B
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
59
41 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$8.2B as of Jan 9, 2017
Mar 30, 2016$8.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 9, 2017
Mar 30, 20160 then
Employees (5.A)59 as of Jan 9, 2017
Mar 30, 201659 then
Private funds: no history
Practice profile
derived from the filing of Jan 9, 2017; 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
$130MderivedRAUM 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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
63reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • Alice Kate Aitken · Directorcontrol
        since 03/2012 · owns less than 5%
      • Andrew Mark Finikin · Directorcontrol
        since 05/2014 · owns less than 5%
      • Jamieson Philip Moffitt · Chief Executive Officer, Directorcontrol
        since 02/2014 · owns less than 5%
      • James Conor Smyth · Directorcontrol
        since 06/2014 · owns less than 5%
      • Leah Judith Shandling · Chief Compliance Officer - US Matters
        since 02/2016 · owns less than 5%
      Entity owners
      • Gsam Australia Holdings Pty Ltd · Member
        direct · owns 75% or more
      • Goldman Sachs Asset Management, L.P. · Member
        indirect · owns 75% or more of Gsam International Holdings L.L.C.
      • Gsam Holdings LLC · General Partner
        indirect · owns 75% or more of Goldman Sachs Asset Management, L.P.
      • Gsam International Holdings L.L.C. · Member
        indirect · owns 75% or more of Gsam Australia Holdings Pty Ltd
      • The Goldman Sachs Group, Inc. · Member
        indirect · owns 75% or more of Gsam Holdings LLC · public reporting company
      Related persons
      Schedule D 7.A
      • Aims Private Credit Opportunities Advisors, LLC
        pooled vehicle sponsorn
      • Aio IV Access Advisors, L.L.C.
        pooled vehicle sponsorn
      • Arrow Reinsurance Company, Limited
        real estaten
      • Asl Access Advisors LLC
        pooled vehicle sponsorn
      • Beijing Gao Hua Securities Company Limited
        broker-dealerinvestment advisern
      • Cap IV Access Advisors, L.L.C
        pooled vehicle sponsorn
      • Dst Opportunities Access Advisors LLC
        pooled vehicle sponsorn
      • Dstg-2 2011 Advisors, L.L.C.
        pooled vehicle sponsorn
      • Eio Gp LLC
        pooled vehicle sponsorn
      • Fihl Access Advisors, Ltd.
        pooled vehicle sponsorn
      • Global Private Opportunities Partners II Offshore, S.Ar.L
        pooled vehicle sponsorn
      • Goldman Sachs (Asia) Finance
        broker-dealern
      • Goldman Sachs (Asia) L.L.C.
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs (Asia) Securities Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs (China) L.L.C.
        investment adviserpooled vehicle sponsorn
      • Goldman Sachs (India) Capital Markets Private Limited
        broker-dealern
      • Goldman Sachs (India) Securities Private Limited
        broker-dealerinvestment advisern
      • Goldman Sachs (Malaysia) Sdn Bhd
        investment advisern
      • Goldman Sachs (Monaco) S.A.M.
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs (Russia)
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs (Singapore) Pte
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs Access Funds Gp, LLC
        pooled vehicle sponsorn
      • Goldman Sachs Ag
        n
      • Goldman Sachs Asset Management (Hong Kong) Limited
        investment advisern
      • Goldman Sachs Asset Management (India) Private Limited
        investment adviserpooled vehicle sponsorn
      • Goldman Sachs Asset Management (Singapore) Pte. Ltd.
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Goldman Sachs Asset Management Co., Ltd.
        broker-dealerinvestment adviserpooled vehicle sponsornRAUM $72B
      • Goldman Sachs Asset Management Global Services Limited
        pooled vehicle sponsorn
      • Goldman Sachs Asset Management International
        investment adviserbankpooled vehicle sponsorLP sponsornRAUM $621B
      • Goldman Sachs Asset Management, L.P.
        investment adviserbankpooled vehicle sponsorLP sponsornRAUM $2649B
      Offices
      Schedule D 1.F, the 25 largest
      • Sydney, Australia
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • Goldman Sachs Asset Management Australia Pty Ltd filed its initial SEC registration (Form ADV)
        Mar 30, 2016 · 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