FIRST SENTIER INVESTORS (US) LLC
Adviser information for FIRST SENTIER INVESTORS (US) LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 49 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 11 |
| 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 | 2 | $116.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $116.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $116.4M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-93167 |
|---|---|
| SEC ERA File Number | 801-93167 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170739 |
| Legal Entity Identifier | 54930037V9UHRXUK1441 |
Principal Office
10 EAST 53RD ST21ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 8AM-6PM
Tel: 212-497-9980, Fax: None
Chief Compliance Officer
JEFF SCHMIDT
10 E. 53RD ST
21ST FLOOR
NEW YORK
NY
United States
Tel:
502-912-5517
J***********@***************M
(Full email address available in API data)
Regulatory Contact
RORY PENNELL
COMPLIANCE MANAGER
10 E. 53RD ST.
21ST FLOOR
NEW YORK
NY
United States
Tel:
212-478-9877
R***********@***************M
(Full email address available in API data)
Industry Affiliates
| 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 (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTD | 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 (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) INFRASTRUCTURE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED | 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 |
|---|---|---|---|---|
| FIRST SENTIER GLOBAL LISTED INFRASTRUCTURE FUND | LONG ONLY | $0.0M | $1.0M | 0 |
| FIRST SENTIER PROPERTY SECURITIES FUND | LONG ONLY | $0.0M | $1.0M | 0 |
| FSSA ASIA PACIFIC FUND | LONG ONLY | $0.0M | $1.0M | 0 |
| FSSA GLOBAL EMERGING MARKETS FOCUS FUND | LONG ONLY | $0.0M | $1.0M | 0 |
| FSSA JAPAN FOCUS FUND | LONG ONLY | $0.0M | $1.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCGUIRE, KEVIN, ANDREW | Individual | – | HEAD OF LEGAL | 07/2016 | < 5% |
| MUFG FUND SERVICES (USA) LLC | Domestic Entity | – | MEMBER | 08/2019 | > 75% |
| MUFG AMERICAS HOLDINGS CORPORATION | Domestic Entity | MUFG FUND SERVICES (USA) LLC | MEMBER | 10/2016 | > 75% |
| MUFG BANK LTD | Foreign Entity | MUFG AMERICAS HOLDINGS CORPORATION | SHAREHOLDER | 10/2016 | > 75% |
| MITSUBISHI UFJ FINANCIAL GROUP, INC. | Foreign Entity | MUFG BANK LTD | SHAREHOLDER | 10/2016 | > 75% |
| Beaini, Bachar | Individual | – | MANAGING DIRECTOR AND DIRECTOR | 08/2019 | < 5% |
| Fisher, James, Thomas | Individual | – | DIRECTOR | 01/2022 | < 5% |
| Muramatsu, Kenjiro | Individual | – | HEAD OF US GOVERNANCE/DIRECTOR | 04/2022 | < 5% |
| Schmidt, Jeffrey, Edwin | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |
| O'BRIEN, NOEL, ANTHONY | Individual | – | DEPUTY CFO/DIRECTOR | 02/2023 | < 5% |