DFA AUSTRALIA LIMITED of SYDNEY is an SEC-registered investment adviser (CRD 107621). Regulatory assets under management: $361.6B.
Compensation: Fixed, Other.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 45 people.
| Name | Role | Location |
|---|---|---|
| Clark E Andrew | DIRECTOR AND VICE PRESIDENT | Tulsa, OK |
| David Gilbert Booth | CHAIRMAN | — |
| Nigel Alan Douglas Stewart | DIRECTOR | — |
| John Glenn Crane | DIRECTOR & CHAIRMAN | — |
| Catherine Lee Newell | DIRECTOR, VICE PRESIDENT, SECRETARY & CHIEF LEGAL OFFICER | — |
| Gerard Kieran O'Reilly | DIRECTOR, CO-CHIEF INVESTMENT OFFICER AND VICE PRESIDENT | — |
| Bhanu Partap Singh | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| Stephen Andrew Clark | DIRECTOR AND VICE PRESIDENT | — |
| David Paul Butler | DIRECTOR | — |
| Selwyn Justin Notelovitz | CHIEF COMPLIANCE OFFICER | — |
| Bernard James Grzelak | CHIEF FINANCIAL OFFICER, TREASURER & VICE PRESIDENT | — |
| Savina Bojidarova Rizova | CO-CHIEF INVESTMENT OFFICER | — |
| Rodney David Mair | HEAD OF COMPLIANCE & VICE PRESIDENT | — |
| SCARDINA MICHAEL THOMAS | VP, CFO & TREASURER; VP, CFO & TRES. | — |
| BOOTH DAVID GILBERT | CHAIRMAN; CHAIRMAN & CEO; CHAIRMAN, PRESIDENT & CEO (+8 more) | — |
| NEWELL CATHERINE LEE | DIRECTOR, CHIEF LEGAL OFFICER, VICE PRESIDENT & ASSISTANT SECRETARY; DIRECTOR, CHIEF LEGAL OFFICER, VICE PRESIDENT & SECRETARY; DIRECTOR, VICE PRESIDENT & SECRETARY (+3 more) | — |
| CROSSAN CHRISTOPHER SCOTT | GLOBAL CHIEF COMPLIANCE OFFICER | — |
| STEWART NIGEL ALAN DOUGLAS | DIRECTOR | — |
| CRANE JOHN GLENN | CHAIRMAN; CHAIRMAN & CO-SECRETARY; DIRECTOR (+6 more) | — |
| CAIN ANDREW GORDON | DIRECTOR; DIRECTOR & V.P.; DIRECTOR,V.P., CHIEF OPERATING OFFICER & CO-SECRETARY | — |
| LENNON GRAHAM JOHN | DIRECTOR, VICE PRESIDENT; DIRECTOR, VICE PRESIDENT & HEAD OF INTERNATIONAL PORTFOLIO MANAGEMENT; DIRECTOR, VICE PRESIDENT & SENIOR PORTFOLIO MANAGER (+2 more) | — |
| PALMER STEPHEN GORDON | COMPLIANCE MANAGER; VICE PRESIDENT, HEAD OF FINANCE; V.P., COMPLIANCE MANAGER & CONTROLLER (+2 more) | — |
| SINQUEFIELD REX ANDREW | CHAIRMAN & CIO; DIRECTOR | — |
| NOTELOVITZ SELWYN JUSTIN | CHIEF COMPLIANCE OFFICER | — |
| BUTLER DONALD PAUL | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-24 | regulatory | ON DECEMBER 24, 2024, DFA AUSTRALIA LIMITED ("DFAA") RECEIVED NOTICE FROM THE FINANCIAL SERVICES COMMISSION OF THE SOUTH KOREAN SECURITIES AND FUTURES COMMISSION (THE "SFC") THAT THE SFC HAD IMPOSED AN ADMINISTRATIVE FINE OF APPROXIMATELY USD 1,300 ON DFAA RELATING TO SELL ORDERS PLACED IN 2021 FOR… | Final | $1K |