FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED
Adviser information for FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 368 |
|---|---|
| Investment Advisory/Research | 69 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 26 | $15.5B |
| Non-Discretionary | 0 | $0 |
| Total | 26 | $15.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 9 | $1.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $10.0B |
| Pension and profit sharing plans | 5 | $2.1B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $1.2B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $1.1B |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 92 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-17900 |
|---|---|
| SEC ERA File Number | 801-17900 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110992 |
| Legal Entity Identifier | None |
Principal Office
23 ST. ANDREW SQUAREEDINBURGH SCOTLAND
United Kingdom
Monday - Friday, 0800 GMT - 1800 GMT
Tel: 44(0)131 473 2200, Fax: 44(0)131 473 2222
Chief Compliance Officer
PETER HAWKINS
HEAD OF REGULATORY COMPLIANCE EMEA
FINSBURY CIRCUS HOUSE
15 FINSBURY CIRCUS
LONDON
United Kingdom
Tel:
+44(0)2073326593
P************@***************M
(Full email address available in API data)
Regulatory Contact
JEFF SCHMIDT
HEAD OF REGULATORY COMPLIANCE, AMERICAS
10 EAST 53RD STREET
21ST FLOOR
NEW YORK
NY
United States
Tel:
+1 502-912-5517
J***********@***************M
(Full email address available in API data)
Industry Affiliates
| ALBACORE CAPITAL LLP | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (IRELAND) LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (JAPAN) LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (SINGAPORE) | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (UK) FUNDS LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (UK) IM LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS (US) LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FIRST SENTIER INVESTORS REALINDEX PTY LTD | Other investment adviser, including financial planners |
| MITSUBISHI UFJ TRUST AND BANKING CORPORATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust companyInsurance company or agencyReal estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIRST SENTIER INVESTORS (UK) IM LIMITED | Foreign Entity | – | BENEFICIAL OWNER | 06/1982 | > 75% |
| SI HOLDINGS LIMITED | Foreign Entity | FIRST STATE INVESTMENT MANAGEMENT (UK ) LIMITED | SHAREHOLDER | 07/1988 | > 75% |
| FIRST SENTIER INVESTORS UK HOLDINGS LIMITED | Foreign Entity | SI HOLDINGS LIMITED | SHAREHOLDER | 03/2000 | > 75% |
| Kubitscheck, Vicky Wai-Choo | Individual | – | NON-EXECUTIVE DIRECTOR | 07/2018 | < 5% |
| MITSUBISHI UFJ FINANCIAL GROUP, INC | Foreign Entity | MITSUBISHI UFJ TRUST AND BANKING CORPORATION | SHAREHOLDER | 08/2019 | > 75% |
| MITSUBISHI UFJ TRUST AND BANKING CORPORATION | Foreign Entity | FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | SHAREHOLDER | 08/2019 | > 75% |
| FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | Foreign Entity | FIRST SENTIER INVESTORS UK HOLDINGS LIMITED | SHAREHOLDER | 08/2019 | > 75% |
| HAWKINS, PETER, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
| Steinberg, Mark, David | Individual | – | GLOBAL CHIEF EXECUTIVE OFFICER | 10/2019 | < 5% |
| COTTON, GARY, NICHOLAS | Individual | – | MANAGING DIRECTOR EMEA, CHIEF OF STAFF AND CHAIRMAN | 12/2020 | < 5% |
| Evans, Suzanne, Clare | Individual | – | GLOBAL CHIEF FINANCIAL AND STRATEGY OFFICER | 01/2021 | < 5% |
| Johnson, Christine, Elaine | Individual | – | INDEPENDENT NON-EXECUTIVE DIRECTOR | 03/2021 | < 5% |
| Warburton, Lisa, Jane | Individual | – | GROUP GENERAL COUNSEL | 03/2023 | < 5% |
| Daniel, Jane, Philippa Louise | Individual | – | DIRECTOR AND CHIEF RISK OFFICER | 04/2023 | < 5% |
| Gazal, Amanda, Renee | Individual | – | CHIEF OPERATING OFFICER | 02/2024 | < 5% |