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Dexus Capital Investors Limited: investment adviser
Dexus Capital Investors Limited is an investment adviser registered with the SEC (file 802-75384, CRD 162793). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 2
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| Dexus Falcon Pty Ltd | Company (outside the U.S.) | Shareholder | E 75% or more | Nov 2023 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| Dexus Holdings Pty Limited | Dexus Falcon Pty Ltd | Company (outside the U.S.) | E 75% or more | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
- Has any self-regulatory organization or commodities exchange ever: found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?
Actions about the firm (2)
- Feb 27, 2020Regulatory Action: Australian Securities and Investments Commission (ASIC) FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $250,500 · Begun Feb 5, 2020 · Resolved Feb 27, 2020 · Other · Docket R20200000035305
In Q1 2020, amp capital paid a penalty of $250,500 to comply with an infringement notice given to it by ASIC on 5 February 2020 in respect of alleged contraventions by amp capital of its obligations to accurately report information about its reportable transactions and positions under the ASIC derivative transaction rules (REPORTING) 2013. The alleged contraventions related to amp capital in its capacity as trustee of managed investment schemes and accordingly, as a counterparty to over the counter (OTC) derivatives. The alleged contraventions do not relate to amp capital in its capacity as investment manager for itself (in its trustee capacity) or to other amp capital managed funds or SMA clients. Amp capital has been in ongoing discussions with ASIC about the steps we are taking to investigate and rectify the deficiencies which have been identified in respect of our OTC derivative transaction REPORTING service. As our discussions with the regulator are confidential, we are unable to provide any further details.
- Dec 1, 2017Regulatory Action: Chicago Board of Trade FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $15,000 · Begun Feb 23, 2016 · Resolved Dec 1, 2017 · Settled · Docket CBOT 16-0382-BC
Pursuant to an offer of settlement in which amp capital neither admitted nor denied the alleged rule contravention upon which the penalty was based in Q4 2017, amp capital was ordered by a panel of the CME group business conduct committee to pay a fine of $15,000. Please see below link to the notice of disciplinary action published on the CME's website in respect of the item reported. HTTPS://www.cmegroup.com/notices/disciplinary/2017/12/CBOT-16-0382-BC-AMP-CAPITAL-INVESTORS-LIMITED.HTML as is self- evident from the notice, the disciplinary action arose from exchange for related position (EFRP) transactions involving two amp capital managed funds in April 2015. The transactions, the subject of the notice, were for the benefit of and did not adversely impact the funds in question. The matter was the subject of a confidential settlement as we are unable to provide any further details.
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.