Firm profile

First Sentier Investors

GEORGE TOWN, GRAND CAYMAN, Cayman IslandsCRD 283669Registration Status: ApprovedEffective since August 8, 2016SEC # 801-108194Latest ADV September 21, 2026

First Sentier Investors is an SEC registered investment adviser organized as a corporation with a primary office location in George Town, Grand Cayman, Cayman Islands. Its latest Form ADV filing, dated September 21, 2026, reports $5.4B in regulatory assets under management, 48 employees, 4 offices, and 11 accounts.

Assets Under Management
$5.4B
Employees
48
Offices
4 offices
Total Clients
11

Associated firm names

6 names listed
  • COLONIAL FIRST STATE GLOBAL ASSET MANAGEMENT
  • IGNEO INFRASTRUCTURE PARTNERS
  • FIRST STATE INVESTMENTS
  • FIRST STATE INFRASTRUCTURE MANAGERS (INTERNATIONAL) LIMITED

Leadership

4 roles identified
CEOHarry P. Moore
CCOEmma K. Tetley
CFOAshley T. A. Conn

Advisory services offered

2 types reported
Portfolio management for businesses
Portfolio management for pooled investment vehicles

Fee models offered

2 types reported
Asset based fees
Performance-based fees

Offices & Contact

Primary office

GEORGE TOWN, GRAND CAYMAN, Cayman Islands

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Cayman Islands

GEORGE TOWN, GRAND CAYMANPrimary office

Australia

BARANGAROO NSW

New York

NY

United Kingdom

LONDON

4 office records listed · 4 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$5.4Bas of September 21, 2026
Discretionary100.0%
$5.4B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentPooled Investment Vehicles represent 63.6% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
63.6%
7
2
Pension Plans
36.4%
4
Categories with <5 clients
Pension and profit sharing plans<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$5.4B
Total Accounts11
10Y AUM Change+$5.1B (+1594.5%)

Private Funds

Private funds reported by First Sentier Investors

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees48
Clients per Employee0:1
10Y Employee Change+2 (+4.3%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTDDirect owner · Schedule AInterest in FIRST SENTIER INVESTORS
75%+
MITSUBISHI UFJ FINANCIAL GROUP, INC.Indirect owner · Schedule BInterest in MITSUBISHI UFJ TRUST AND BANKING CORPORATION
75%+
MITSUBISHI UFJ TRUST AND BANKING CORPORATIONIndirect owner · Schedule BInterest in FIRST SENTIER GROUP LIMITED
75%+
FIRST SENTIER GROUP LIMITEDIndirect owner · Schedule BInterest in FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTD
75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to First Sentier Investors.

Reported ownership and control details

Form ADV · Filing date 2026-09-21 · Schedules A and B

17 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1SCOTT PATRICK LENNONDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR04/2015Schedule APDF page 38
2FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTDSHAREHOLDERForeign entityFIRST SENTIER INVESTORS75% or moreCode EYesSHAREHOLDER07/2002Schedule APDF page 38
3ASIEH MANSOURDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR08/2016Schedule APDF page 38
4DILOSHINI INDIKA SENEVIRATNEDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR02/2019Schedule APDF page 38
5Emma Kathryn TetleyCHIEF COMPLIANCE OFFICERIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER03/2021Schedule APDF page 38
6Lisa Ann Marie VolekaertALTERNATE DIRECTOR FOR SCOTT PATRICK LENNONIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesALTERNATE DIRECTOR FOR SCOTT PATRICK LENNON07/2021Schedule APDF page 38
7Bachar BeainiDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR02/2022Schedule APDF page 38
8Susan HoDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR02/2022Schedule APDF page 38
9Lisa Jane WarburtonGROUP GENERAL COUNSELIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesGROUP GENERAL COUNSEL04/2023Schedule APDF page 38
10Amanda Renee GazalCHIEF OPERATING OFFICERIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesCHIEF OPERATING OFFICER02/2024Schedule APDF page 38
11ASHLEY THOMAS ARMSTRONG CONNCHIEF FINANCIAL OFFICERIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesCHIEF FINANCIAL OFFICER05/2025Schedule APDF page 38
12HARRY PATRICK MOORECHIEF EXECUTIVE OFFICERIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER01/2026Schedule APDF page 38
13Simone Anne DesmarchelierDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR09/2026Schedule APDF page 38
14Thomas Gerald GrangerDIRECTORIndividualFIRST SENTIER INVESTORSLess than 5%Code NAYesDIRECTOR09/2026Schedule APDF page 38
15MITSUBISHI UFJ FINANCIAL GROUP, INC.HEAD PARENT COMPANYForeign entityMITSUBISHI UFJ TRUST AND BANKING CORPORATION75% or moreCode EYesHEAD PARENT COMPANY08/2019Schedule BPDF page 39
16MITSUBISHI UFJ TRUST AND BANKING CORPORATIONSHAREHOLDERForeign entityFIRST SENTIER GROUP LIMITED75% or moreCode EYesSHAREHOLDER08/2019Schedule BPDF page 39
17FIRST SENTIER GROUP LIMITEDSHAREHOLDERForeign entityFIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTD75% or moreCode EYesSHAREHOLDER08/2019Schedule BPDF page 39

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 9/21/2026 7:43:06 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.