FIRST SENTIER INVESTORS
FIRST SENTIER INVESTORS (AUSTRALIA) IM LTD Legal Name
Adviser information for FIRST SENTIER INVESTORS last updated from Form ADV on March 26th, 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 | 390 |
|---|---|
| Investment Advisory/Research | 76 |
| 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 | 173 | $89.6B |
| Non-Discretionary | 0 | $0 |
| Total | 173 | $89.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 7 | $4.2B |
| Investment companies | 4 | $1.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 89 | $46.0B |
| Pension and profit sharing plans | 23 | $7.7B |
| Charitable organizations | 3 | $110.2M |
| State or municipal gov entities | 12 | $3.1B |
| Other investment advisers | 3 | $329.6M |
| Insurance companies | 12 | $1.9B |
| Sovereign wealth funds and foreign official institutions | 14 | $23.9B |
| Corporations or other businesses | 6 | $1.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 98 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73006 |
|---|---|
| SEC ERA File Number | 801-73006 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160034 |
| Legal Entity Identifier | 549300MACVLN46DK7389 |
Principal Office
LEVEL 5, TOWER 3, INTERNATIONAL TOWERS300 BARANGAROO AVENUE
BARANGAROO, NSW
Australia
Monday - Friday, 9AM-5PM
Tel: 61 2 9010 5200, Fax: None
Chief Compliance Officer
EMMA TETLEY
HEAD OF APAC REGULATORY COMPLIANCE & GLOBAL INVESTMENT COMPLIANCE
LEVEL 5, TOWER 3, INTERNATIONAL TOWERS
300 BARANGAROO AVENUE
BARANGAROO, NSW
Australia
Tel:
61 2 9010 5200
E**********@***************M
(Full email address available in API data)
Regulatory Contact
JANE WRUCK
SENIOR MANAGER REGULATORY COMPLIANCE
LEVEL 5, TOWER 3, INTERNATIONAL TOWERS
300 BARANGAROO AVENUE
BARANGAROO, NSW
Australia
Tel:
61 2 9010 5200
A**************@***************M
(Full email address available in API data)
Industry Affiliates
| ALBACORE CAPITAL LIMITED | Other investment adviser, including financial planners |
| ALBACORE CAPITAL LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| 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 planners |
| FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED | Other investment adviser, including financial planners |
| FIRST SENTIER INVESTORS RQI 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 |
|---|---|---|---|---|---|
| Steinberg, Mark, David | Individual | – | CHIEF EXECUTIVE OFFICER, DIRECTOR | 10/2018 | < 5% |
| Evans, Suzanne, Clare | Individual | – | CHIEF FINANCIAL OFFICER | 08/2019 | < 5% |
| FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | Foreign Entity | – | BENEFICIAL OWNER | 08/2019 | > 75% |
| MITSUBISHI UFJ TRUST AND BANKING CORPORATION | Foreign Entity | FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | SHAREHOLDER | 08/2019 | > 75% |
| MITSUBISHI UFJ FINANCIAL GROUP, INC | Foreign Entity | MITSUBISHI UFJ TRUST AND BANKING CORPORATION | HEAD PARENT COMPANY | 10/2005 | > 75% |
| Tetley, Emma, Kathryn | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| ALLEN, DAVID | Individual | – | DIRECTOR | 02/2022 | < 5% |
| Warburton, Lisa, Jane | Individual | – | GROUP GENERAL COUNSEL | 04/2023 | < 5% |
| PRENDIVILLE, LAUREN | Individual | – | DIRECTOR | 05/2023 | < 5% |
| Ueno, Yoshiki | Individual | – | DIRECTOR | 05/2023 | < 5% |
| Gazal, Amanda, Renee | Individual | – | CHIEF OPERATING OFFICER | 02/2024 | < 5% |