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DWS INVESTMENTS AUSTRALIA LIMITED

SYDNEY, Australia · CRD 109112 · IAPD ↗ · dws.com · 011 612 8258 1234

$1.90BRegulatory AUM
8Advisory reps
25Employees
16Clients
n/aPlanning clients
0Private funds
0States
136Disclosures
foreignSegment
ApprovedSEC status

Filing changes

25
October 2026 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (134 -> 136).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
June 2026 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (132 -> 134).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2026 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (129 -> 132).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
36
April 2026 — DWS INVESTMENTS AUSTRALIA LIMITED reported RAUM up 32% ($1.44B -> $1.90B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
25
January 2026 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (141 -> 142).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
December 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (138 -> 141).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
July 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (136 -> 138).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
June 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 10 (126 -> 136).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (124 -> 126).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
20
April 2025 — DWS INVESTMENTS AUSTRALIA LIMITED reported RAUM down 25% ($1.93B -> $1.44B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
25
March 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 4 (124 -> 128).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
February 2025 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (121 -> 124).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
November 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 10 (111 -> 121).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
September 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 6 (105 -> 111).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
August 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (102 -> 105).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
July 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (100 -> 102).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 1 (99 -> 100).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
April 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 3 (96 -> 99).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
February 2024 — DWS INVESTMENTS AUSTRALIA LIMITED's Item 11 disclosure-reporting entries rose by 2 (94 -> 96).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.