{"url":"https://nivawealth.com/firms/dfa-australia-limited-107621","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107621","regulatoryAum":361597715620,"crd":"107621","secFileNumber":"801-48036","legalName":"Dfa Australia Limited","displayName":"Dfa Australia Limited","website":null,"founded":null,"organization":"corporation organized in Australia","fiscalYearEnd":"December","headquarters":{"street":"Level 43, 1 Macquarie Place","city":"Sydney","state":"","stateName":"","country":"Australia","postalCode":"2000"},"tradeNames":["Dimensional Fund Advisors"],"registration":{"secApproved":"1 December 1994","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":134,"advisory":55,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":361597715620,"discretionaryAccounts":106,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":6,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":77,"regulatoryAum":344593914800},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":4297144484},{"label":"State or municipal government entities","clients":19,"regulatoryAum":9840208492},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"regulatoryAum":1598651232},{"label":"Corporations and other businesses","clients":null,"regulatoryAum":1267796612}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":4827517785},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":4045470834},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":1577135971}],"custodyNote":"Dfa Australia Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Bhanu Singh","title":"Director & Chief Executive Officer","crd":"6339773"},{"name":"Stephen Clark","title":"Director and Vice President","crd":"2943305"},{"name":"Bernard Grzelak","title":"Chief Financial Officer, Treasurer & Vice President","crd":"4285750"},{"name":"Jason Lapping","title":"Director and Vice President","crd":"8236705"},{"name":"Catherine Newell","title":"Director, Vice President, Secretary & Chief Legal Officer","crd":"2890628"},{"name":"Gerard O'Reilly","title":"Director, Co-Chief Investment Officer and Vice President","crd":"4982644"},{"name":"Selwyn Notelovitz","title":"Chief Compliance Officer","crd":"2886676"},{"name":"David Butler","title":"Director","crd":"2305298"},{"name":"John Crane","title":"Director & Chairman","crd":"4361850"},{"name":"Valentina Janson","title":"Head of Compliance & Risk","crd":"8238065"},{"name":"Savina Rizova","title":"Co-Chief Investment Officer","crd":"6013757"}],"ownership":[{"label":"Dimensional Fund Advisors LP","detail":"Shareholder in the 75% or more ownership band and a control person, since August 1994."},{"label":"David Booth","detail":"Indirect owner: a chairman of Dimensional Holdings Inc. in the 25% to 50% band and a control person, since February 2017.","parent":"Dimensional Holdings Inc."},{"label":"Dimensional Holdings Inc.","detail":"Indirect owner: general partner of Dimensional Fund Advisors LP and a control person, since November 2006. Also a sole member of Dimensional Holdings LLC in the 75% or more band and a control person, since November 2006.","parent":"Dimensional Fund Advisors LP"},{"label":"Dimensional Holdings LLC","detail":"Indirect owner: a limited partner of Dimensional Fund Advisors LP in the 75% or more band and a control person, since November 2006.","parent":"Dimensional Fund Advisors LP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"61283367100","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":96},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107621/PDF/107621.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dfa Australia Limited have?","answer":"Dfa Australia Limited has 100 clients and manages $361.6 billion for them, as of March 2026. They include 77 investment companies, 19 state or municipal government entities and 4 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dfa Australia Limited offer?","answer":"Dfa Australia Limited provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Dfa Australia Limited use?","answer":"Dfa Australia Limited’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $4,827,517,785, The Bank of New York Mellon (New York, NY), with $4,045,470,834 and The Northern Trust Company (Chicago, IL), with $1,577,135,971. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dfa Australia Limited have?","answer":"Dfa Australia Limited has 0 investment adviser representatives registered with state securities authorities, out of 134 employees, and 55 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dfa Australia Limited invest in?","answer":"At the end of its last fiscal year, Dfa Australia Limited’s separately managed accounts held 96% exchange-traded equities, 1% U.S. government and agency bonds, 1% investment grade corporate bonds, 1% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Dfa Australia Limited?","answer":"Dfa Australia Limited is owned through a chain of holding companies by David Booth and Dimensional Holdings LLC. Its direct owner is Dimensional Fund Advisors LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dfa Australia Limited get paid?","answer":"Dfa Australia Limited is paid through fixed fees and other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}