First Sentier Investors (US) LLC

Business, clients and compensation, as filed

Advisory activities

portfolio management for investment companies, portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients

Compensated by

a percentage of assets under management and performance-based fees

Client types

investment companies (2); business development companies (0); pooled investment vehicles (9)

Also engaged as

commodity pool operator or commodity trading advisor

Related persons include

a broker-dealer, another investment adviser, a security-based swap dealer, a commodity pool operator or commodity trading advisor, a banking or thrift institution, a trust company, an insurance company or agency, a real estate broker or dealer, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles

Affiliates

13 investment advisers

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
• SEC or CFTC order against the firm or an affiliate (Item 11C(4))
• other regulator finding of a violation (Item 11D(2), 4 reported)
• other regulator order, denial, suspension or revocation (Item 11D(4), 2 reported)
• civil court dismissal of a case with a settlement (Item 11H(1)(c))

Form D activity of the funds this firm advises, by year

3 issuers in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from March 21, 2024 to December 18, 2025. 1 offering is still raising on the latest filing. Reported sold across them: $103.3M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.