DFA AUSTRALIA LIMITED
Adviser information for DFA AUSTRALIA LIMITED last updated from Form ADV on March 28th, 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 | Australia |
Employees
| Total Number of Employees | 118 |
|---|---|
| Investment Advisory/Research | 47 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 108 | $274.3B |
| Non-Discretionary | 0 | $0 |
| Total | 108 | $274.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 86 | $265.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $91.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 13 | $7.3B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 5 | $1.4B |
| Corporations or other businesses | <5 | $312.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 6 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | Fixed feesEXPENSES PLUS A FIXED PERCENTAGE OF EXPENSES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
LEVEL 431 MACQUARIE PLACE
SYDNEY
Australia
Monday - Friday, 8:00 A.M. TO 6:00 P.M.
Tel: +61 (2) 8336 7100, Fax: +61 (2) 8336 7195
Chief Compliance Officer
SELWYN J. NOTELOVITZ
CHIEF COMPLIANCE OFFICER
6300 BEE CAVE ROAD
BUILDING ONE
AUSTIN
TX
United States
Tel:
512-306-7400
Fax:
512-306-6698
S****************@**************M
(Full email address available in API data)
Regulatory Contact
CATHERINE L. NEWELL
VICE PRESIDENT, CHIEF LEGAL OFFICER & SECRETARY
6300 BEE CAVE ROAD
BUILDING ONE
AUSTIN
TX
United States
Tel:
512-306-7400
Fax:
512-306-7609
C***************@**************M
(Full email address available in API data)
Industry Affiliates
| DFA SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DIMENSIONAL FUND ADVISORS CANADA ULC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| DIMENSIONAL FUND ADVISORS LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DIMENSIONAL FUND ADVISORS LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DIMENSIONAL FUND ADVISORS PTE. LTD. | Other investment adviser, including financial planners |
| DIMENSIONAL HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DIMENSIONAL IRELAND LIMITED | Other investment adviser, including financial planners |
| DIMENSIONAL JAPAN LTD. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STEWART, NIGEL, ALAN DOUGLAS | Individual | – | DIRECTOR | 08/1994 | < 5% |
| CRANE, JOHN, GLENN | Individual | – | DIRECTOR & CHAIRMAN | 08/1994 | < 5% |
| DIMENSIONAL HOLDINGS INC. | Domestic Entity | DIMENSIONAL FUND ADVISORS LP | GENERAL PARTNER | 11/2006 | |
| NEWELL, CATHERINE, LEE | Individual | – | DIRECTOR, VICE PRESIDENT, SECRETARY & CHIEF LEGAL OFFICER | 08/1996 | < 5% |
| BOOTH, DAVID, GILBERT | Individual | DIMENSIONAL HOLDINGS INC. | CHAIRMAN | 02/2017 | 25-50% |
| DIMENSIONAL FUND ADVISORS LP | Domestic Entity | – | SHAREHOLDER | 08/1994 | > 75% |
| DIMENSIONAL HOLDINGS LLC | Domestic Entity | DIMENSIONAL FUND ADVISORS LP | LIMITED PARTNER | 11/2006 | > 75% |
| DIMENSIONAL HOLDINGS INC. | Domestic Entity | DIMENSIONAL HOLDINGS LLC | SOLE MEMBER | 11/2006 | > 75% |
| MAIR, RODNEY, DAVID | Individual | – | HEAD OF COMPLIANCE & VICE PRESIDENT | 07/2010 | < 5% |
| O'REILLY, GERARD, KIERAN | Individual | – | DIRECTOR, CO-CHIEF INVESTMENT OFFICER AND VICE PRESIDENT | 10/2017 | < 5% |
| SINGH, BHANU, PARTAP | Individual | – | DIRECTOR & CHIEF EXECUTIVE OFFICER | 01/2023 | < 5% |
| CLARK, STEPHEN, ANDREW | Individual | – | DIRECTOR AND VICE PRESIDENT | 10/2016 | < 5% |
| BUTLER, DAVID, PAUL | Individual | – | DIRECTOR | 07/2017 | < 5% |
| NOTELOVITZ, SELWYN, JUSTIN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2020 | < 5% |
| GRZELAK, BERNARD, JAMES | Individual | – | CHIEF FINANCIAL OFFICER, TREASURER & VICE PRESIDENT | 09/2020 | < 5% |
| RIZOVA, SAVINA, BOJIDAROVA | Individual | – | CO-CHIEF INVESTMENT OFFICER | 02/2024 | < 5% |