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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CLEARBRIDGE INVESTMENTS

CLEARBRIDGE, LLC, CRD 110619

BALTIMORE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2c105c92-06c8-4e22-3b37-eff198b8587c

Data as of Sep 6, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2012 to Sep 6, 2018
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.9BItem 5.F on the latest filing (2018-09-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
Private client RAUM: $2.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 12
Individual clients: 0
High net worth clients: 1
Custody, client assets: $0
SEC number: 801-18115
CRD: 110619
Filings on the tape: 16
First filed: Jan 19, 2012
Latest filed: Sep 6, 2018
Organised: Limited Liability Company, Maryland

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
LMCM SMALL CAP FUND, LLC	Other Private Fund	$1.9M	Jan 24, 2013	15	Jan 19, 2012	dropped	n/a
LMCM SYSTEMATIC VALUE FUND, LLC	Other Private Fund	$1.8M	Jan 24, 2013	18	Jan 19, 2012	dropped	n/a
LMCM GLOBAL TECHNOLOGY FUND, LLC	Other Private Fund	$1.3M	Jan 24, 2013	9	Jan 19, 2012	dropped	n/a
LMCM GLOBAL HEALTH CARE FUND, LLC	Other Private Fund	$1.2M	Jan 24, 2013	9	Jan 19, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COHEN, HARRY, DAVID	CO-CHIEF INVESTMENT OFFICER	Na	yes	06/2013	Jun 28, 2013	Sep 6, 2018
GLASSER, SCOTT, KEITH	CO-CHIEF INVESTMENT OFFICER	Na	yes	06/2013	Jun 28, 2013	Sep 6, 2018
LEGG MASON, INC.	SOLE MEMBER	E	yes	10/1982	Jan 19, 2012	Sep 6, 2018
LIST, CYNTHIA, KAREN	CHIEF FINANCIAL OFFICER	Na	yes	06/2013	Jun 28, 2013	Sep 6, 2018
MANNING, BARBARA, BROOKE	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2013	Jun 28, 2013	Sep 6, 2018
MURPHY, TERRENCE, JAMES	CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER	Na	yes	06/2013	Jun 28, 2013	Sep 6, 2018
NACHTWEY, PETER, HAMILTON	Manager	Na	yes	10/2011	Jan 19, 2012	Sep 6, 2018
NATTANS, JEFFREY, ALLEN	Manager	Na	yes	04/2009	Jan 19, 2012	Sep 6, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CLEARBRIDGE INVESTMENTS, LLC	n/a	Mixed wealth	$185B	Y	yes	n/a
LEGG MASON PARTNERS FUND ADVISOR, LLC	n/a	Asset manager	$167B	N	yes	n/a
LEGG MASON INVESTMENT FUNDS LIMITED	n/a	n/a	n/a	N	yes	n/a
LEGG MASON INVESTMENTS (EUROPE) LIMITED	n/a	n/a	n/a	N	yes	n/a
LEGG MASON INVESTOR SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Jun 28, 2018	$4.9B	$4.9B	17	9	0	n/a	n/a
2017	Jun 27, 2017	$4.8B	$4.8B	18	10	n/a	n/a	n/a
2016	Jun 28, 2016	$5.2B	$5.2B	18	9	n/a	n/a	n/a
2015	Jun 26, 2015	$5.8B	$5.8B	21	10	n/a	n/a	n/a
2014	Jun 26, 2014	$5.4B	$5.4B	23	10	n/a	n/a	n/a
2013	Jun 28, 2013	$5.8B	$5.8B	29	13	n/a	n/a	n/a
2012	Jun 21, 2012	$7.4B	$7.3B	n/a	n/a	n/a	5	$35.0M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$4.9B	$4.8B	1.1%	$5.8B	-5.8%	17	18	0	n/a

Relationships

Affiliated with (4)

← WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TITULOS E VALORegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ FRANKLIN TEMPLETON FUND ADVISER, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← LEGG MASON ASSET MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

← LIST, CYNTHIA, KARENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← GLASSER, SCOTT, KEITHOwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← NATTANS, JEFFREY, ALLENOwnerMANAGER, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← MANNING, BARBARA, BROOKEOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← COHEN, HARRY, DAVIDOwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← MURPHY, TERRENCE, JAMESOwnerCHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← NACHTWEY, PETER, HAMILTONOwnerMANAGER, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← LEGG MASON, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Jan 19, 2012 to presentfactForm ADV

Registered with (6)

← KATHLEEN MURRAY ANDERSONAdvisorregistration: previous registration
Apr 8, 2011 to Apr 4, 2019factForm ADV
← ROBERT GEORGE HAGSTROMAdvisorregistration: previous registration
Jul 11, 2005 to Dec 4, 2012factForm ADV
← MITCHEL STUART PENNAdvisorregistration: previous registration
Jun 30, 2005 to Feb 24, 2012factForm ADV
← WILLIAM MICHAEL SMITHAdvisorregistration: previous registration
Dec 18, 2007 to Dec 1, 2011factForm ADV
← DENNIS DELANEY PARLANTEAdvisorregistration: previous registration
Dec 18, 2007 to Nov 4, 2008factForm ADV
← MARK PHILIP WHISKEYMANAdvisorregistration: previous registration
Dec 18, 2007 to Nov 4, 2008factForm ADV

Advises (4)

→ LMCM GLOBAL HEALTH CARE FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Jan 19, 2012 to Jan 24, 2013factForm ADV
→ LMCM GLOBAL TECHNOLOGY FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Jan 19, 2012 to Jan 24, 2013factForm ADV
→ LMCM SYSTEMATIC VALUE FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Jan 19, 2012 to Jan 24, 2013factForm ADV
→ LMCM SMALL CAP FUND, LLCPrivate fundOther Private Fund, IA, no longer reported
Jan 19, 2012 to Jan 24, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c105c92-06c8-4e22-3b37-eff198b8587c
First observed: Jan 19, 2012
Last observed: Sep 6, 2018 97 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLEARBRIDGE INVESTMENTS

CLEARBRIDGE, LLC, CRD 110619

BALTIMORE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2c105c92-06c8-4e22-3b37-eff198b8587c

Data as of Sep 6, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LMCM SMALL CAP FUND, LLC

Other Private Fund

$1.9M

Jan 24, 2013

Jan 19, 2012

dropped

n/a

LMCM SYSTEMATIC VALUE FUND, LLC

Other Private Fund

$1.8M

Jan 24, 2013

Jan 19, 2012

dropped

n/a

LMCM GLOBAL TECHNOLOGY FUND, LLC

Other Private Fund

$1.3M

Jan 24, 2013

Jan 19, 2012

dropped

n/a

LMCM GLOBAL HEALTH CARE FUND, LLC

Other Private Fund

$1.2M

Jan 24, 2013

Jan 19, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COHEN, HARRY, DAVID

CO-CHIEF INVESTMENT OFFICER

yes

06/2013

Jun 28, 2013

Sep 6, 2018

GLASSER, SCOTT, KEITH

CO-CHIEF INVESTMENT OFFICER

yes

06/2013

Jun 28, 2013

Sep 6, 2018

LEGG MASON, INC.

SOLE MEMBER

yes

10/1982

Jan 19, 2012

Sep 6, 2018

LIST, CYNTHIA, KAREN

CHIEF FINANCIAL OFFICER

yes

06/2013

Jun 28, 2013

Sep 6, 2018

MANNING, BARBARA, BROOKE

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

06/2013

Jun 28, 2013

Sep 6, 2018

MURPHY, TERRENCE, JAMES

CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER

yes

06/2013

Jun 28, 2013

Sep 6, 2018

NACHTWEY, PETER, HAMILTON

Manager

yes

10/2011

Jan 19, 2012

Sep 6, 2018

NATTANS, JEFFREY, ALLEN

Manager

yes

04/2009

Jan 19, 2012

Sep 6, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLEARBRIDGE INVESTMENTS, LLC

n/a

Mixed wealth

$185B

yes

n/a

LEGG MASON PARTNERS FUND ADVISOR, LLC

n/a

Asset manager

$167B

yes

n/a

LEGG MASON INVESTMENT FUNDS LIMITED

n/a

yes

n/a

LEGG MASON INVESTMENTS (EUROPE) LIMITED

n/a

yes

n/a

LEGG MASON INVESTOR SERVICES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Jun 28, 2018

$4.9B

n/a

2017

Jun 27, 2017

$4.8B

n/a

2016

Jun 28, 2016

$5.2B

n/a

2015

Jun 26, 2015

$5.8B

n/a

2014

Jun 26, 2014

$5.4B

n/a

2013

Jun 28, 2013

$5.8B

n/a

2012

Jun 21, 2012

$7.4B

$7.3B

n/a

$35.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$4.9B

$4.8B

1.1%

$5.8B

-5.8%

n/a