DWS INVESTMENTS AUSTRALIA LIMITED
Adviser information for DWS INVESTMENTS 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 | 26 |
|---|---|
| Investment Advisory/Research | 8 |
| 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 | 50 | $1.9B |
| Non-Discretionary | 0 | $0 |
| Total | 50 | $1.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $63.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 23 | $1.4B |
| Pension and profit sharing plans | 7 | $128.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $166.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $173.4M |
| Other | 12 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 80 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-57743 |
|---|---|
| SEC ERA File Number | 801-57743 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109112 |
| Legal Entity Identifier | 529900M0ZXN2D2ZESI73 |
Principal Office
DEUTSCHE BANK PLACELEVEL 16, CNR HUNTER AND PHILLIP STREETS
SYDNEY
Australia
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 011 612 8258 1234, Fax: None
Websites
Chief Compliance Officer
DAVID HENDRIKS
CHIEF COMPLIANCE OFFICER
126 PHILLIP ST
LEVEL 16
SYDNEY
Australia
Tel:
011 61 2 8258 3352
D*************@******M
(Full email address available in API data)
Regulatory Contact
JUNG WON YEOM
CHIEF OPERATING OFFICER
126 PHILIP STREET
FL. 16
SYDNEY
Australia
Tel:
011 61 2 8258 1087
C**********@******M
(Full email address available in API data)
Industry Affiliates
| DBX ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| DEUTSCHE AUSTRALIA LIMITED | Other investment adviser, including financial planners |
| DEUTSCHE BANK (CHINA) CO., LTD., SHANGHAI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK (MALAYSIA) BERHAD | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institutionTrust companySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| DEUTSCHE BANK AG A.S. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG BANGKOK BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG HUNGARY BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG JAKARTA BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG MUMBAI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (BELGIUM) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (FRANCE) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (PORTUGAL) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, COLOMBO BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, FRANKFURT | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, HO CHI MINH CITY BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, HONG KONG BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, KARACHI | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, LONDON BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, MANILA BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, NEW YORK | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, SEOUL BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, SINGAPORE BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, TAIPEI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AKTIENGESELLSCHAFT FILIALE PRAG, ORGANIZACN� SLOZKA | Banking or thrift institutionTrust company |
| DEUTSCHE BANK POLSKA S.A. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.A. - BANCO ALEM�O | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.A.E. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.P.A. | Banking or thrift institutionTrust company |
| DEUTSCHE GROUP SERVICES PTY LIMITED | Other investment adviser, including financial planners |
| DEUTSCHE SECURITIES AND SERVICES, DUBAI | Banking or thrift institutionTrust company |
| DEUTSCHE SECURITIES SAUDI ARABIA LLC | Banking or thrift institutionTrust company |
| DWS INTERNATIONAL GMBH | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS INVESTMENTS HONG KONG LIMITED | Other investment adviser, including financial planners |
| RREEF AMERICA L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DEUTSCHE BANK AG | Foreign Entity | DB BETEILIGUNGS-HOLDING GMBH | SHAREHOLDER | 02/2018 | > 75% |
| IRVING, DAVID, KENNETH | Individual | – | DIRECTOR | 07/2013 | < 5% |
| ROBINSON, CHRIS, THEO | Individual | – | DIRECTOR | 03/2015 | < 5% |
| DWS GROUP GMBH & CO. KGAA | Foreign Entity | – | SHAREHOLDER | 02/2018 | > 75% |
| DB BETEILIGUNGS-HOLDING GMBH | Foreign Entity | DWS GROUP GMBH & CO. KGAA | SHAREHOLDER | 03/2018 | > 75% |
| MURFIN, SIMON, JOHN | Individual | – | CHIEF FINANCIAL OFFICER AND DIRECTOR | 09/2021 | < 5% |
| WONG, SUSANNA, N.Y. | Individual | – | LEGAL | 10/2020 | < 5% |
| HENDRIKS, DAVID, DUNSTAN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |
| Yeom, Jung Won | Individual | – | CHIEF OPERATING OFFICER | 10/2023 | < 5% |