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.
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SEC-registered adviser
F•••• S•••••• I••••••••
Legal name F•••• S•••••• I•••••••• ••••••••• I••••••••• M••••••• P••
Latest filing Sep 14, 2026
First filing on the tape Jul 21, 2016 · 54 filings
SEC status approved since Aug 12, 2016
RAUM
$3.6B
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
35
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$3.6B as of Jun 18, 2026
Sep 29, 2017$561M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Sep 29, 20170 then
Employees (5.A)35 as of Jun 18, 2026
Sep 29, 201726 then
Private funds1 as of Jun 18, 2026
Sep 29, 20171 then
RAUM +15% over the last fiscal year+7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 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
- $1.8BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0 bank_owner=falsederived
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
- B•••••• B••••• · Directorcontrolsince 02/2022 · owns less than 5%
- D••••••• J•••• D••••• · Directorcontrolsince 05/2015 · owns less than 5%
- E••••• S••••••• C•••• · Chief Financial Officercontrolsince 08/2019 · owns less than 5%
- G••••• A•••••• R•••• · Chief Operating Officercontrolsince 02/2024 · owns less than 5%
- H•• S•••• · Directorcontrolsince 02/2022 · owns less than 5%
- L•••••• S••••• P•••••• · Directorcontrolsince 04/2015 · owns less than 5%
- M••••••• A•••• · Directorcontrolsince 08/2016 · owns less than 5%
- S••••••••• D••••••••• I••••• · Directorcontrolsince 02/2019 · owns less than 5%
- S••••••••• M•••• D•••• · Chief Executive Officercontrolsince 10/2018 · owns less than 5%
- T•••••• E•••• K•••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- V••••••••• L•••• A•• M•••• · Alternate Director For S•••• P•••••• L•••••controlsince 07/2021 · owns less than 5%
- W••••••••• L•••• J••• · Group General Counselcontrolsince 04/2023 · owns less than 5%
Entity owners
- F•••• S•••••• I•••••••• ••••••••• I••••••••• H••••••• L•• · Shareholderdirect · owns 75% or more
- F•••• S•••••• I•••••••• H••••••• P•• L•••••• · Shareholderindirect · owns 75% or more of F•••• S•••••• I•••••••• ••••••••• I••••••••• H••••••• L••
- M••••••••• U•• F•••••••• G••••• I••• · Head Parent Companyindirect · owns 75% or more of M••••••••• U•• T•••• A•• B•••••• C••••••••• · public reporting company
- M••••••••• U•• T•••• A•• B•••••• C••••••••• · Shareholderindirect · owns 75% or more of F•••• S•••••• I•••••••• H••••••• P•• L••••••
Related persons
Schedule D 7.A
- F•••• S•••••• I••••••••investment advisernRAUM $5.4B
- F•••• S•••••• I••••••••investment advisernRAUM $53B
- F•••• S•••••• I••••••••investment advisercustodiannRAUM $6.8B
- F•••• S•••••• I•••••••• •••• K•••• L••••••investment advisernRAUM $33B
- F•••• S•••••• I•••••••• •••••••• L••••••investment advisernRAUM $28B
- F•••• S•••••• I•••••••• •••••• L••••••investment advisern
- F•••• S•••••• I•••••••• •••••••••investment advisernRAUM $11B
- F•••• S•••••• I•••••••• ••• F•••• L••••••investment advisernRAUM $12B
- F•••• S•••••• I•••••••• ••• I• L••••••investment advisernRAUM $13B
- F•••• S•••••• I•••••••• ••• L••investment advisernRAUM $969M
- F•••• S•••••• I•••••••• I••••••••• I• L••••••investment advisernRAUM $16B
- F•••• S•••••• I•••••••• R•• P•• L••investment advisern
- M••••••••• U•• T•••• A•• B•••••• C•••••••••investment adviserinvestment companyreal estateyRAUM $407B
Advisers that list F•••• S•••••• I•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- London, United States Minor Outlying Islands (The)2 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 18, 2026 to Sep 14, 2026
- HQ state · to unsetJun 18, 2026 to Sep 14, 2026
- Private funds · 1 to unsetJun 18, 2026 to Sep 14, 2026
- Succession · false to unsetJun 18, 2026 to Sep 14, 2026
- BD registered reps · 7 to 6Jan 5, 2026 to Mar 30, 2026
- Employees · 33 to 35Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $3.2B to $3.6BJan 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $3.2B to $3.6BJan 5, 2026 to Mar 30, 2026
- RAUM · $3.2B to $3.6BJan 5, 2026 to Mar 30, 2026
- Financial planning clients · unset to Jun 3, 2025 to Jul 7, 2025
- BD registered reps · 4 to 7Aug 29, 2024 to Apr 7, 2025
- Employees · 36 to 33Aug 29, 2024 to Apr 7, 2025
- HQ state · unset to Aug 29, 2024 to Apr 7, 2025
- Discretionary RAUM · $3.1B to $3.2BAug 29, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · $3.1B to $3.2BAug 29, 2024 to Apr 7, 2025
- RAUM · $3.1B to $3.2BAug 29, 2024 to Apr 7, 2025
- Advisory employees · 16 to 8Feb 8, 2024 to Mar 26, 2024
- BD registered reps · 0 to 4Feb 8, 2024 to Mar 26, 2024
- Employees · 38 to 36Feb 8, 2024 to Mar 26, 2024
- Discretionary RAUM · $2.9B to $3.1BFeb 8, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $2.9B to $3.1BFeb 8, 2024 to Mar 26, 2024
- RAUM · $2.9B to $3.1BFeb 8, 2024 to Mar 26, 2024
- Advisory employees · 26 to 16Nov 3, 2022 to Mar 29, 2023
- Employees · 43 to 38Nov 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.4B to $2.9BNov 3, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $2.4B to $2.9BNov 3, 2022 to Mar 29, 2023
- RAUM · $2.4B to $2.9BNov 3, 2022 to Mar 29, 2023
- Advisory employees · 22 to 26Jul 8, 2021 to Mar 30, 2022
- Employees · 36 to 43Jul 8, 2021 to Mar 30, 2022
- Other offices · 1 to 2Jul 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.3B to $2.4BJul 8, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $2.4BJul 8, 2021 to Mar 30, 2022
- RAUM · $1.3B to $2.4BJul 8, 2021 to Mar 30, 2022
- Advisory employees · 8 to 22Oct 8, 2020 to Mar 29, 2021
- Employees · 18 to 36Oct 8, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.0B to $1.3BOct 8, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.0B to $1.3BOct 8, 2020 to Mar 29, 2021
- RAUM · $1.0B to $1.3BOct 8, 2020 to Mar 29, 2021
- Accounts · 3 to 2Feb 26, 2020 to Mar 27, 2020
- Advisory employees · 11 to 8Feb 26, 2020 to Mar 27, 2020
Signals
22 dated events
- R•••• A••••• G•••• (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Feb 8, 2024 · Control person joined · fact
- Nicholas Gary Cotton (Chief Operating Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2023-08-24, absent 2024-02-08)Feb 8, 2024 · Control person left · inference
- Ann E•••••••• H••••••• (Chief Legal Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2022-05-05, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- Gordon Robert Scott (Chief Operating Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2022-05-05, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- J••• L••• W•••••••• (Acting Group General Counsel) appeared on Schedule A of F•••• S•••••• I••••••••Nov 3, 2022 · Control person joined · fact
- Nicholas Gary Cotton (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Nov 3, 2022 · Control person joined · fact
- F•••• S•••••• I•••••••• reported RAUM $2.4B, up 85% from $1.3B (2021-07-08 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A••••• Perry Clausen (Director) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2021-07-08, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- B••••• B••••• (Director) appeared on Schedule A of F•••• S•••••• I••••••••Mar 30, 2022 · Control person joined · fact
- S•••• Ho (Director) appeared on Schedule A of F•••• S•••••• I••••••••Mar 30, 2022 · Control person joined · fact
- Ann M•••• L••• V•••••••• (Alternate Director For Scott Patrick Lennon) appeared on Schedule A of F•••• S•••••• I••••••••Jul 8, 2021 · Control person joined · fact
- F•••• S•••••• I•••••••• reported RAUM $1.3B, up 30% from $1.0B (2020-10-08 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- K•••••• E••• T••••• (Chief Compliance Officer) appeared on Schedule A of F•••• S•••••• I••••••••Mar 29, 2021 · Control person joined · fact
- John Brian Hollingworth (Chief Compliance Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2020-10-08, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Giuseppe Flex (Chief Compliance Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2020-03-30, absent 2020-10-08)Oct 8, 2020 · Control person left · inference
- John Brian Hollingworth (Chief Compliance Officer) appeared on Schedule A of F•••• S•••••• I••••••••Oct 8, 2020 · Control person joined · fact
- C•••• S•••••• E•••• (Chief Financial Officer) appeared on Schedule A of F•••• S•••••• I••••••••Aug 28, 2019 · Control person joined · fact
- C•••• A••••• D•••• (Chief Financial Officer) no longer on Schedule A of F•••• S•••••• I•••••••• (listed 2019-07-03, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
- Gordon Robert Scott (Chief Operating Officer) appeared on Schedule A of F•••• S•••••• I••••••••Jul 3, 2019 · Control person joined · fact
- Indika Diloshini Seneviratne (Director) appeared on Schedule A of F•••• S•••••• I••••••••Mar 6, 2019 · Control person joined · fact
- F•••• S•••••• I•••••••• reported RAUM $761.7M, up 36% from $560.9M (2018-07-03 to 2018-09-27)Sep 27, 2018 · RAUM change · derived
- C••••••• F•••• S•••• G••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Jul 21, 2016 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- F•••• S•••••• I•••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/first-sentier-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- au.linkedin.com/company/first-sentier-groupreportedpublic 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, Sep 14, 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