9AT: AUSBIL INVESTMENT MANAGEMENT LIMITED

other names

AUSBIL INVESTMENT MANAGEMENT LIMITED

Adviser Profile

As of Date	03/27/2025
ADV Location	SYDNEY, Australia
Adviser Type - Large advisory firm - Outside the United States
Number of Employees	70 6%
of those in investment advisory functions	32
Registration	SEC, Approved, 05/15/2020
Other registrations (1)	SEC, ERA - Withdrawn, 04/15/2020
Former registrations	AUSBIL INVESTMENT MANAGEMENT LIMITED

AUM^*	12,626,303,388 16%
of that, discretionary	11,991,016,496 11%
Private Fund GAV^*	261,353,366
Avg Account Size	242,813,527 13%
SMA’s	Yes
Private Funds	3
Contact Info	61 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Other investment advisers
- Sovereign wealth funds and foreign official institutions
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count3	GAV$261,353,366

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser FONDSMAEGLERSELSKABET MAJ INVEST A/S	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund145.5m	Total Private Fund GAV145.5m	AUM10.7b	#Funds1
Adviser MYCIO WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.1b	Total Private Fund GAV1.1b	AUM14.4b	#Funds6
Adviser ROYCE INVESTMENT PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund25.0m	Total Private Fund GAV25.0m	AUM12.4b	#Funds1
Adviser CHARTWELL INVESTMENT PARTNERS, LLC	Hedge Fund525.8k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV525.8k	AUM13.0b	#Funds1
Adviser VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund3.3m	Total Private Fund GAV3.3m	AUM15.9b	#Funds1
Adviser ARGA INVESTMENT MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.1b	Total Private Fund GAV1.1b	AUM18.0b	#Funds12
Adviser POLARIS CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund240.1m	Total Private Fund GAV240.1m	AUM8.9b	#Funds5
Adviser CBRE INVESTMENT MANAGEMENT LISTED REAL ASSETS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM9.0b	#Funds-
Adviser SECOR INVESTMENT ADVISORS, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.4b	Total Private Fund GAV1.4b	AUM12.7b	#Funds2
Adviser AMOVA ASSET MANAGEMENT AMERICAS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund12.5m	Total Private Fund GAV12.5m	AUM9.0b	#Funds1

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker65339F101	Stock NameNextEra Energy Inc	$ Position$10,419,862	% Position6.00%	$ Change-6.00%	# Change-7.00%
Stck Ticker126408103	Stock NameCSX Corp	$ Position$9,465,238	% Position5.00%	$ Change-6.00%	# Change-9.00%
Stck Ticker29364G103	Stock NameEntergy Corp	$ Position$6,505,963	% Position4.00%	$ Change-7.00%	# Change-6.00%
Stck Ticker30040W108	Stock NameEversource Energy	$ Position$6,388,001	% Position4.00%	$ Change-13.00%	# Change-7.00%
Stck TickerN3168P101	Stock NameFerrovial SE	$ Position$6,322,232	% Position4.00%	$ Change-5.00%	# Change-16.00%
Stck Ticker16411R208	Stock NameCheniere Energy Inc	$ Position$6,457,636	% Position4.00%	$ Change-16.00%	# Change0.00%
Stck Ticker655844108	Stock NameNorfolk Southern Corp	$ Position$7,601,709	% Position4.00%	$ Change-25.00%	# Change-22.00%
Stck Ticker969457100	Stock NameWilliams Cos Inc/The	$ Position$6,263,342	% Position4.00%	$ Change-6.00%	# Change0.00%
Stck Ticker65473P105	Stock NameNiSource Inc	$ Position$5,242,467	% Position3.00%	$ Change-8.00%	# Change-5.00%
Stck Ticker744573106	Stock NamePublic Service Enterprise Grou	$ Position$6,051,167	% Position3.00%	$ Change-8.00%	# Change-6.00%

Brochure Summary

Overview

Ausbil commenced operations as a Limited Company in Australia in April 1997. In November 2014, New York Life Insurance Company, a New York mutual insurance company (“NYLIC” or “Ultimate Parent”) through its wholly-owned subsidiaries became a principal owner of Ausbil. NYLIC owns Ausbil through New York Life Investment Management Holdings II International S.ar.l (“Parent”), a wholly owned subsidiary of New York Life Investment Management Holdings International S.ar.l, which in turn is a wholly owned subsidiary of New York Life Investment Management Holdings LLC (“NYLIM”), which is a direct wholly owned subsidiary of NYLIC. Ausbil is registered with and licensed by the Australian Securities and Investments Commission (“ASIC”) to advise and deal with a broad range of financial products and services (AFSL 229722). Ausbil’s core business is the management of Australian and global equities for superannuation funds, institutional investors, master trusts and Australian retail clients. Ausbil provides discretionary investment management services to managed investment trusts offered in Australia. Ausbil is offering the following strategies to US investors that are “accredited investors,” within the meaning of Regulation D of the Securities Act of 1933 (the “1933 Act”), and “qualified purchasers,” within the meaning of Section 2(a)(51) of the Investment Company Act of 1940 (the “1940 Act”):
• Global Infrastructure;
• Global Small

Cap; and
• Global Resources. These are collectively known as the “Strategies”. Admission to the Strategies is not open to the general public in the US. The Strategies also offer interests to non-US investors primarily in Australia. Unless otherwise noted, from this point on, the rest of this Brochure will only disclose information in relation to the “Strategies”. Ausbil seeks to provide discretionary investment advisory services to investment companies registered with the SEC and institutions through the management of separate accounts. Ausbil’s discretionary authority over a separate account may be subject to limitations, restrictions or guidelines imposed by the client. Ausbil may seek to tailor its investment strategy to meet the needs of clients, however, it may decline to accept or may terminate the client’s account, if the requirements placed on Ausbil’s ability to manage the account are too restrictive or constrain its ability to effectively implement a particular strategy. As of January 31, 2024, Ausbil managed approximately US$10.26 billion in client assets on a discretionary basis. On a non-discretionary basis, as of January 31, 2024, Ausbil managed approximately US$664 million by recommending securities with any resulting investment or divestment arising from such recommendations undertaken by the client at their own discretion.1 1 As of January 31, 2024. AUM is converted from AUD at the spot rate of this date (1AUD= 0.658317USD).

AUSBIL INVESTMENT MANAGEMENT LIMITED

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