{"url":"https://nivawealth.com/firms/first-sentier-investors-uk-im-limited-281323","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/281323","regulatoryAum":13271630276,"crd":"281323","secFileNumber":"801-106688","legalName":"First Sentier Investors (uk) Im Limited","displayName":"First Sentier Investors (uk) Im Limited","website":null,"founded":null,"organization":"corporation organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"23 ST Andrew Square","city":"Edinburgh","state":"","stateName":"","country":"United Kingdom","postalCode":"EH2 1BB"},"tradeNames":["Fssa","Stewart Investors"],"registration":{"secApproved":"23 September 2015","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":314,"advisory":50,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":13271630276,"discretionaryAccounts":24,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":2,"regulatoryAum":342642772},{"label":"Pooled investment vehicles","clients":21,"regulatoryAum":12759270525},{"label":"Sovereign wealth funds and foreign official institutions","clients":1,"regulatoryAum":169716979}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"First Sentier Investors (uk) Im Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Harry Moore","title":"Group 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":"Peter Hawkins","title":"Chief Compliance Officer","crd":"5214863"},{"name":"Gary Cotton","title":"Non-Independent Non-Executive Director","crd":"6036074"},{"name":"Jane Daniel","title":"Chief Risk Officer","crd":"7738824"},{"name":"Christine Johnson","title":"Independent Non-Executive Director","crd":"7355688"},{"name":"Baronet Kerry-Leigh","title":"Regional Managing Director, Emea & Head of Product","crd":"8048656"},{"name":"Vicky Wai-Choo Kubitscheck","title":"Independent Non-Executive Director","crd":"7011936"},{"name":"Lisa Warburton","title":"Group General Counsel","crd":"7658611"}],"ownership":[{"label":"First Sentier Investors Uk Holdings Limited","detail":"Shareholder in the 75% or more ownership band and a control person, since November 2024."},{"label":"Mitsubishi Ufj Financial Group, Inc","detail":"Indirect owner: a shareholder of Mitsubishi Ufj Trust and Banking Corporation in the 75% or more band and a control person, since August 2019.","parent":"Mitsubishi Ufj Trust and Banking Corporation"},{"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":"First Sentier Group Limited","detail":"Indirect owner: a shareholder of First Sentier Investors Uk Holdings Limited in the 75% or more band and a control person, since August 2019.","parent":"First Sentier Investors Uk Holdings Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"4401314732200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["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":100}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/281323/PDF/281323.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 (uk) Im Limited have?","answer":"First Sentier Investors (uk) Im Limited has 24 clients and manages $13.3 billion for them, as of March 2026. They include 21 pooled investment vehicles, 2 investment companies and 1 sovereign wealth funds and foreign official institutions.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Sentier Investors (uk) Im Limited offer?","answer":"First Sentier Investors (uk) Im Limited provides 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":"How many financial advisors does First Sentier Investors (uk) Im Limited have?","answer":"First Sentier Investors (uk) Im Limited has 0 investment adviser representatives registered with state securities authorities, out of 314 employees, and 50 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 (uk) Im Limited invest in?","answer":"At the end of its last fiscal year, First Sentier Investors (uk) Im Limited’s separately managed accounts held 100% 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 (uk) Im Limited?","answer":"First Sentier Investors (uk) Im Limited is owned through a chain of holding companies by Mitsubishi Ufj Financial Group, Inc. Its direct owner is First Sentier Investors Uk Holdings Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Sentier Investors (uk) Im Limited get paid?","answer":"First Sentier Investors (uk) Im Limited is paid through a percentage of assets under management. 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."}