9AT: AUSBIL INVESTMENT MANAGEMENT LIMITED

other names

AUSBIL INVESTMENT MANAGEMENT LIMITED

Adviser Profile

As of Date	03/25/2026
Registration	SEC, Approved, 05/15/2020
Other registrations (1)	SEC, ERA - Withdrawn, 04/15/2020
Former registrations	AUSBIL INVESTMENT MANAGEMENT LIMITED
ADV Location	SYDNEY, Australia
Contact Info	61 xxxxxxx
Websites

AUM^*	14,352,289,769 31%
of that, discretionary	13,475,135,272 31%
Number of Employees	72 3%
of those in investment advisory functions	33 3%
Private Fund GAV^*	377,312,369 44%
Avg Account Size	292,903,873 39%
SMA’s	Yes
Private Funds	4 1

Adviser Type

- Large advisory firm
- Outside the United States

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

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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 Fund178.1m	Total Private Fund GAV178.1m	AUM11.1b	#Funds1
Adviser FORESIGHT GROUP LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM10.1b	#Funds-
Adviser FRONTIER CAPITAL MANAGEMENT CO LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund445.6m	Total Private Fund GAV445.6m	AUM9.6b	#Funds5
Adviser CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM11.9b	#Funds-
Adviser VIRTUS CAPITAL ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund195.3m	Total Private Fund GAV195.3m	AUM1.5b	#Funds2
Adviser GARDNER RUSSO & QUINN LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund2.3b	Total Private Fund GAV2.3b	AUM9.4b	#Funds3
Adviser POLARIS CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund200.3m	Total Private Fund GAV200.3m	AUM5.5b	#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-	AUM10.8b	#Funds-
Adviser VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund2.5m	Total Private Fund GAV2.5m	AUM12.2b	#Funds1
Adviser MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund100.4m	Total Private Fund GAV100.4m	AUM6.6b	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker29364G103	Stock NameEntergy Corp	$ Position$14,621,916	% Position7.00%	$ Change83.00%	# Change84.00%
Stck Ticker784305104	Stock NameH2O America	$ Position$12,331,921	% Position6.00%	$ Change-14.00%	# Change-17.00%
Stck Ticker126408103	Stock NameCSX Corp	$ Position$12,619,446	% Position6.00%	$ Change17.00%	# Change0.00%
Stck Ticker16411R208	Stock NameCheniere Energy Inc	$ Position$11,815,485	% Position5.00%	$ Change29.00%	# Change46.00%
Stck Ticker65339F101	Stock NameNextEra Energy Inc	$ Position$11,615,901	% Position5.00%	$ Change-11.00%	# Change-5.00%
Stck Ticker655844108	Stock NameNorfolk Southern Corp	$ Position$8,940,014	% Position4.00%	$ Change18.00%	# Change6.00%
Stck Ticker969457100	Stock NameWilliams Cos Inc/The	$ Position$9,539,419	% Position4.00%	$ Change-5.00%	# Change-6.00%
Stck Ticker98389B100	Stock NameXcel Energy Inc	$ Position$7,514,355	% Position3.00%	$ Change	# Change
Stck Ticker65473P105	Stock NameNiSource Inc	$ Position$7,384,837	% Position3.00%	$ Change0.00%	# Change0.00%
Stck Ticker136375102	Stock NameCanadian National Railway Co	$ Position$6,766,894	% Position3.00%	$ Change39.00%	# Change21.00%

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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