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
Ausbil Investment Management Limited
Latest filing Mar 25, 2026
First filing on the tape Apr 15, 2020 · 9 filings
SEC status approved since May 15, 2020
RAUM
$14B
reported, Item 5.F
Discretionary
94%
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
72
33 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$14B as of Mar 25, 2026
Mar 29, 2021$11B then
HNW client RAUM$0 as of Mar 25, 2026
Mar 29, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20210 then
Employees (5.A)72 as of Mar 25, 2026
Mar 29, 202160 then
Private funds4 as of Mar 25, 2026
Mar 29, 20213 then
RAUM +14% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $293MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 10%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
- +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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.6B73%
- Sovereign wealth funds$1.5B23%
- Other investment advisers$263M4.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 49reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.34 institutional_share=0.1 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ausbil Microcap Fundno longer reported | Other Private Fund | $184M | 753 | Aug 17, 2017 |
| Ausbil Global Essential Infrastructure Fund | Other Private Fund | $149M | 104 | Mar 28, 2019 |
| Candriam Sustainable Global Equity Fundno longer reported | Other Private Fund | $75.6M | 43 | Aug 17, 2017 |
| Ausbil Global Smallcap Fund | Other Private Fund | $49.6M | 153 | Mar 28, 2019 |
| Mackay Shields Unconstrained Bond Fundno longer reported | Other Private Fund | $48.9M | 6 | Aug 17, 2017 |
| Ausbil Global Resources Fund | Other Private Fund | $32.1M | 186 | Mar 28, 2019 |
| Ausbil Dividend Income Fundno longer reported | Other Private Fund | $26.7M | 114 | Mar 27, 2018 |
| Ausbil Active Sustainable Equity Fundno longer reported | Other Private Fund | $17.8M | 8 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- (Nmn) Naim Abou-Jaoude · Directorcontrolsince 02/2007 · owns less than 5%
- Anton Tyson Cannizzaro · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- Kristy Do · General Counsel And Company Secretarycontrolsince 07/2023 · owns less than 5%
- Vasiliki Gemisis · Director, Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- (Nmn) Jay Giacco · Directorcontrolsince 11/2015 · owns less than 5%
- Lyn Morgan Glaser · Directorcontrolsince 08/2023 · owns less than 5%
- (Nmn) John Grace · Directorcontrolsince 12/2006 · owns less than 5%
- Michael Francis Harte · Directorcontrolsince 04/2019 · owns less than 5%
- Gregory Mark Knight · Chief Executive Officer, Director, Company Secretarycontrolsince 11/2015 · owns less than 5%
- (Nmn) Paul Xiradis · Executive Chairman, Directorcontrolsince 04/1997 · owns 5% to 10%
- Jae Sung Yoon · Directorcontrolsince 07/2017 · owns less than 5%
Entity owners
- New York Life Investment Management LLC · Interest Holderdirect · owns 75% or more
- New York Life Insurance Company · Indirect Interest Holderindirect · owns 75% or more of New York Life Investment Management LLC
- New York Life Investment Management Holdings LLC · Sole Member/Direct & Sole Interest Holderindirect · owns 75% or more of New York Life Investment Management LLC
Related persons
Schedule D 7.A
- Apogem Capital LLCinvestment advisernRAUM $44B
- Candriam S.C.A.investment adviserbankpooled vehicle sponsornRAUM $155B
- Eagle Strategies LLCinvestment advisernRAUM $32B
- Flatiron Rr LLC, Manager Seriesinvestment advisernRAUM $1.2B
- Indexiq Advisors LLCinvestment adviserbanknRAUM $10B
- Mackay Shields LLCinvestment adviserbanknRAUM $160B
- New York Life Insurance And Annuity Corporationbankreal estaten
- New York Life Insurance Companybankreal estaten
- New York Life Investment Management LLCinvestment adviseryRAUM $121B
Advisers that list Ausbil Investment Management Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 52 to 49Mar 27, 2025 to Mar 25, 2026
- Advisory employees · 32 to 33Mar 27, 2025 to Mar 25, 2026
- Pooled vehicle clients · 15 to 16Mar 27, 2025 to Mar 25, 2026
- Employees · 70 to 72Mar 27, 2025 to Mar 25, 2026
- Private funds · 3 to 4Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $12B to $13BMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $635M to $877MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.6B to $4.6BMar 27, 2025 to Mar 25, 2026
- RAUM · $13B to $14BMar 27, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 27, 2025
- HQ state · unset to Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $10B to $12BMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $664M to $635MMar 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $3.2B to $3.6BMar 21, 2024 to Mar 27, 2025
- RAUM · $11B to $13BMar 21, 2024 to Mar 27, 2025
- Accounts · 53 to 52Sep 4, 2023 to Mar 21, 2024
- Advisory activities · 3 to 2Sep 4, 2023 to Mar 21, 2024
- Pooled vehicle clients · 16 to 15Sep 4, 2023 to Mar 21, 2024
- Employees · 66 to 70Sep 4, 2023 to Mar 21, 2024
- Discretionary RAUM · $11B to $10BSep 4, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $588M to $664MSep 4, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $3.7B to $3.2BSep 4, 2023 to Mar 21, 2024
- RAUM · $11B to $11BSep 4, 2023 to Mar 21, 2024
- Accounts · 54 to 53Oct 13, 2022 to Mar 27, 2023
- Advisory employees · 40 to 32Oct 13, 2022 to Mar 27, 2023
- Advisory activities · 2 to 3Oct 13, 2022 to Mar 27, 2023
- Pooled vehicle clients · 17 to 16Oct 13, 2022 to Mar 27, 2023
- Employees · 64 to 66Oct 13, 2022 to Mar 27, 2023
- Discretionary RAUM · $10B to $11BOct 13, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $622M to $588MOct 13, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $3.6B to $3.7BOct 13, 2022 to Mar 27, 2023
- RAUM · $11B to $11BOct 13, 2022 to Mar 27, 2023
- Accounts · 51 to 54Mar 29, 2021 to Mar 29, 2022
- Advisory activities · 3 to 2Mar 29, 2021 to Mar 29, 2022
- Employees · 60 to 64Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $10B to $10BMar 29, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $750M to $622MMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $3.6B to $3.6BMar 29, 2021 to Mar 29, 2022
- RAUM · $11B to $11BMar 29, 2021 to Mar 29, 2022
- Accounts · 34 to 51Apr 15, 2020 to Mar 29, 2021
Signals
8 dated events
- Charles Ross Youngman (Director) no longer on Schedule A of Ausbil Investment Management Limited (listed 2023-03-27, absent 2023-09-04)Sep 4, 2023 · Control person left · inference
- Tiffany Jane Lamming (General Counsel, Company Secretary) no longer on Schedule A of Ausbil Investment Management Limited (listed 2023-03-27, absent 2023-09-04)Sep 4, 2023 · Control person left · inference
- Kristy Do (General Counsel And Company Secretary) appeared on Schedule A of Ausbil Investment Management LimitedSep 4, 2023 · Control person joined · fact
- Lyn Morgan Glaser (Director) appeared on Schedule A of Ausbil Investment Management LimitedSep 4, 2023 · Control person joined · fact
- (Nmn) Yie-Hsin Hung (Director) no longer on Schedule A of Ausbil Investment Management Limited (listed 2022-03-29, absent 2022-10-13)Oct 13, 2022 · Control person left · inference
- Ausbil Investment Management Limited reported RAUM $10.9B, up 29% from $8.4B (2020-04-15 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Vasiliki Gemisis (Chief Financial Officer) appeared on Schedule A of Ausbil Investment Management LimitedMar 29, 2021 · Control person joined · fact
- Ausbil Investment Management Limited filed its initial SEC registration (Form ADV)Apr 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Ausbil Investment Management Limited · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- au.linkedin.com/company/ausbilreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AUSBIL.COM.AUreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 61 2 9259 0230reportedpublic record, Form ADV, Mar 25, 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
- Other 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