{
  "crd_number": 109112,
  "slug": "dws-investments-australia-limited-sydney-109112",
  "primary_business_name": "DWS INVESTMENTS AUSTRALIA LIMITED",
  "legal_name": "DWS INVESTMENTS AUSTRALIA LIMITED",
  "dbas": [],
  "city": "Sydney",
  "state": null,
  "country": "Australia",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2000-07-14",
  "years_registered": 26,
  "period": "2026-10-01",
  "filing_date": "2026-09-14",
  "carried_forward": false,
  "raum_total": 1899627832.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 1899627832.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 25,
  "advisory_employees": 8,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 16,
      "description": "MODEL PORTFOLIO CLIENTS"
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 71056645.0,
      "count": 2
    },
    "pension_profit_sharing": {
      "raum": 772413069.0,
      "count": 14
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 952574547.0,
      "count": 18
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 103583571.0,
      "count": 2,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 15,
  "states_registered": [],
  "websites": [
    "https://dws.com/EN-AU"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109112",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(1)(a)",
      "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "SYDNEY",
  "url": "https://advisorcensus.com/firm/dws-investments-australia-limited-sydney-109112",
  "display_name": "DWS Investments Australia Limited",
  "summary": "DWS Investments Australia Limited is an SEC-registered investment advisory firm in Sydney, Australia, registered since 2000, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 14, 2026.",
  "citation": "AdvisorCensus. DWS Investments Australia Limited (CRD 109112): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is DWS Investments Australia Limited compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), DWS Investments Australia Limited reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is DWS Investments Australia Limited located?",
      "a": "DWS Investments Australia Limited's principal office is in Sydney, Australia, according to its Form ADV."
    },
    {
      "q": "Is DWS Investments Australia Limited registered with the SEC or a state?",
      "a": "DWS Investments Australia Limited is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 109112."
    },
    {
      "q": "How much does DWS Investments Australia Limited manage?",
      "a": "DWS Investments Australia Limited reports $1,899,627,832 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (0% discretionary)."
    },
    {
      "q": "How have DWS Investments Australia Limited's assets and staff changed since 2021?",
      "a": "In the Form ADV data for DWS Investments Australia Limited: Regulatory assets under management: $1,727,932,562 in the October 2021 data and $1,899,627,832 in the October 2026 data, up 10%. Total employees: 19 in October 2021 and 25 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does DWS Investments Australia Limited serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (18); other (16); pension and profit sharing plans (but not the plan participants or government pension plans) (14)."
    },
    {
      "q": "Which custodians does DWS Investments Australia Limited use?",
      "a": "DWS Investments Australia Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists State Street Bank & Trust Co as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does DWS Investments Australia Limited report any disciplinary disclosures?",
      "a": "Reports 15 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 10 questions about regulatory matters, and 4 questions about civil court matters (11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109112"
    },
    {
      "q": "What changed in DWS Investments Australia Limited's recent Form ADV filings?",
      "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1727932562.0,
      "total_employees": 19,
      "filing_date": "2021-09-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2106777137.0,
      "total_employees": 21,
      "filing_date": "2022-08-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1647698098.0,
      "total_employees": 23,
      "filing_date": "2023-10-04"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1928582015.0,
      "total_employees": 26,
      "filing_date": "2024-08-22"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1437455425.0,
      "total_employees": 28,
      "filing_date": "2025-07-11"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1899627832.0,
      "total_employees": 25,
      "filing_date": "2026-09-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $1,437,455,425 to $1,899,627,832 (+32%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "State Street Bank & Trust Co",
      "name_as_filed": "STATE STREET BANK & TRUST CO",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/dws-investments-australia-limited-sydney-109112.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 2,
      "fewer_than_5": false,
      "raum": 71056645.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 18,
      "fewer_than_5": false,
      "raum": 952574547.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 772413069.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 2,
      "fewer_than_5": true,
      "raum": 103583571.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 16,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 15 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109112",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}