{"url":"https://nivawealth.com/firms/first-sentier-investors-australia-im-160034","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/160034","regulatoryAum":52930584077,"crd":"160034","secFileNumber":"801-73006","legalName":"First Sentier Investors (australia) Im LTD","displayName":"First Sentier Investors (australia) Im","website":null,"founded":null,"organization":"corporation organized in Australia","fiscalYearEnd":"December","headquarters":{"street":"Level 5, Tower 3, International Towers, 300 Barangaroo Avenue","city":"Barangaroo, NSW","state":"","stateName":"","country":"Australia","postalCode":"2000"},"tradeNames":[],"registration":{"secApproved":"10 January 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":313,"advisory":51,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":52930584077,"discretionaryAccounts":98,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":97,"nonAumClients":7},"clientTypes":[{"label":"Banking or thrift institutions","clients":3,"regulatoryAum":1076333869},{"label":"Investment companies","clients":5,"regulatoryAum":966673732},{"label":"Pooled investment vehicles","clients":43,"regulatoryAum":21139641419},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":6673221945},{"label":"State or municipal government entities","clients":5,"regulatoryAum":1501905872},{"label":"Other investment advisers","clients":1,"regulatoryAum":43920143},{"label":"Insurance companies","clients":2,"regulatoryAum":543875109},{"label":"Sovereign wealth funds and foreign official institutions","clients":21,"regulatoryAum":20122808070},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":862203918}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Melbourne","smaAssets":22166657285}],"custodyNote":"First Sentier Investors (australia) Im does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Harry Moore","title":"Chief Executive Officer","crd":"7170791"},{"name":"Ashley Conn","title":"Chief Financial and Strategy Officer","crd":"4981615"},{"name":"Amanda Gazal","title":"Chief Operating Officer","crd":"7869468"},{"name":"Emma Tetley","title":"Chief Compliance Officer","crd":"7352448"},{"name":"Hendrie Koster","title":"Director","crd":"8062760"},{"name":"Noel O'Brien","title":"Director","crd":"7707332"},{"name":"Lauren Prendiville","title":"Director","crd":"6981651"},{"name":"Lisa Warburton","title":"Group General Counsel","crd":"7658611"}],"ownership":[{"label":"First Sentier Group Limited","detail":"Beneficial owner in the 75% or more ownership band and a control person, since August 2019."},{"label":"Mitsubishi Ufj Trust and Banking Corporation","detail":"Indirect owner: a shareholder of First Sentier Group Limited in the 75% or more band and a control person, since August 2019.","parent":"First Sentier Group Limited"},{"label":"Mitsubishi Ufj Financial Group, Inc","detail":"Indirect owner: a head parent company of Mitsubishi Ufj Trust and Banking Corporation in the 75% or more band and a control person, since October 2005.","parent":"Mitsubishi Ufj Trust and Banking Corporation"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"Floor 17","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"61290105200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"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":19},{"label":"Cash and cash equivalents","percent":81}],"privateFunds":0},"sources":{"adv1FilingDate":"23 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/160034/PDF/160034.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does First Sentier Investors (australia) Im have?","answer":"First Sentier Investors (australia) Im has 98 clients and manages $52.9 billion for them, as of April 2026. They include 43 pooled investment vehicles, 21 sovereign wealth funds and foreign official institutions and 14 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Sentier Investors (australia) Im offer?","answer":"First Sentier Investors (australia) Im 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 First Sentier Investors (australia) Im use?","answer":"First Sentier Investors (australia) Im’s separately managed account assets are held at The Northern Trust Company (Melbourne), with $22,166,657,285. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does First Sentier Investors (australia) Im have?","answer":"First Sentier Investors (australia) Im has 0 investment adviser representatives registered with state securities authorities, out of 313 employees, and 51 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 First Sentier Investors (australia) Im invest in?","answer":"At the end of its last fiscal year, First Sentier Investors (australia) Im’s separately managed accounts held 81% cash and equivalents and 19% exchange-traded equities. 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 First Sentier Investors (australia) Im?","answer":"First Sentier Investors (australia) Im is owned through a chain of holding companies by Mitsubishi Ufj Financial Group, Inc. Its direct owner is First Sentier Group Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Sentier Investors (australia) Im get paid?","answer":"First Sentier Investors (australia) Im is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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."}