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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED

CRD 147462

-CENTRAL

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:340cf2d4-b961-86ac-ac14-27f10d3417bd

Data as of Jun 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Jun 28, 2012
3 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: $734MItem 5.F on the latest filing (2012-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $734M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 12
SEC number: 801-69492
CRD: 147462
Filings on the tape: 3
First filed: Nov 22, 2011
Latest filed: Jun 28, 2012
Organised: Corporation

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
CHAN, LAI SZE	HEAD OF HONG KONG & CHINA INVESTMENT & DIRECTOR	Na	yes	07/2006	Nov 22, 2011	Jun 28, 2012
CHAN, SAU WAI DIANA	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Mar 30, 2012	Jun 28, 2012
HUI, ALVIN JOYUE	CHIEF LEGAL OFFICER	Na	yes	04/2011	Mar 30, 2012	Jun 28, 2012
JOHNSON, TERRENCE, ANDREW	HEAD OF INTERNATIONAL DISTRIBUTION & DIRECTOR	Na	yes	07/2007	Nov 22, 2011	Jun 28, 2012
LAROCQUE, JOSEPH, PATRICK	Director	Na	yes	06/2009	Nov 22, 2011	Jun 28, 2012
LAU, HUI ZIN	ASIAN REGION CONTROLLER	Na	yes	07/2011	Mar 30, 2012	Jun 28, 2012
LEGG MASON GLOBAL HOLDINGS LIMITED	LIMITED PARTNER	E	yes	03/2011	Mar 30, 2012	Jun 28, 2012
LEGG MASON INTERNATIONAL HOLDINGS, LLC	GENERAL PARTNER	E	yes	12/2004	Nov 22, 2011	Jun 28, 2012
LEGG MASON, INC.	SOLE STOCKHOLDER	E	yes	03/2011	Nov 22, 2011	Jun 28, 2012
LIM, HONG HENG LENNIE	HEAD OF ASIA DISTRIBUTION & DIRECTOR	Na	yes	02/2008	Nov 22, 2011	Jun 28, 2012
LM INTERNATIONAL HOLDING L.P.	Shareholder	E	yes	01/2006	Nov 22, 2011	Jun 28, 2012
SHEARMAN, ROBERT, MICHAEL	DIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT	Na	yes	10/2010	Nov 22, 2011	Jun 28, 2012
TSANG, SIU FOR, FREEMAN	DIRECTOR, BUSINESS DEVELOPMENT	Na	yes	01/2010	Nov 22, 2011	Jun 28, 2012

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
WESTERN ASSET MANAGEMENT COMPANY	n/a	Asset manager	$185B	N	yes	n/a
CLEARBRIDGE ADVISORS, LLC	n/a	Mixed wealth	$185B	N	yes	n/a
LEGG MASON GLOBAL ASSET ALLOCATION, LLC	n/a	Former SEC adviser	$8.9B	N	yes	n/a
BATTERYMARCH FINANCIAL MANAGEMENT INC	n/a	Former SEC adviser	$8.1B	N	yes	n/a
LEGG MASON CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$4.9B	N	yes	n/a
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED	n/a	Former SEC adviser	$147M	N	yes	n/a
LEGG MASON ASSET MANAGEMENT SINGAPORE PTE. 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 INVESTMENTS (TAIWAN) LIMITED	n/a	n/a	n/a	N	yes	n/a
LMM 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
2012	Jun 28, 2012	$734M	$734M	n/a	n/a	n/a	n/a	n/a

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
2012	$734M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (10)

← FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.Registered adviserother investment adviser, common control
factForm ADV
← K2 ADVISORS, L.L.C.Registered adviserother investment adviser, common control
factForm ADV
← EDINBURGH PARTNERS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ QS LEGG MASON GLOBAL ASSET ALLOCATION, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, common control
factForm ADV

Controls (13)

← LAROCQUE, JOSEPH, PATRICKOwnerDIRECTOR, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← LIM, HONG HENG LENNIEOwnerHEAD OF ASIA DISTRIBUTION & DIRECTOR, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← CHAN, LAI SZEOwnerHEAD OF HONG KONG & CHINA INVESTMENT & DIRECTOR, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← JOHNSON, TERRENCE, ANDREWOwnerHEAD OF INTERNATIONAL DISTRIBUTION & DIRECTOR, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← TSANG, SIU FOR, FREEMANOwnerDIRECTOR, BUSINESS DEVELOPMENT, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← SHEARMAN, ROBERT, MICHAELOwnerDIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← CHAN, SAU WAI DIANAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HUI, ALVIN JOYUEOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LAU, HUI ZINOwnerASIAN REGION CONTROLLER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LEGG MASON GLOBAL HOLDINGS LIMITEDOwnerLIMITED PARTNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← LEGG MASON INTERNATIONAL HOLDINGS, LLCOwnerGENERAL PARTNER, ownership code E, domestic entity
Nov 22, 2011 to presentfactForm ADV
← LEGG MASON, INC.OwnerSOLE STOCKHOLDER, ownership code E, domestic entity
Nov 22, 2011 to presentfactForm ADV
← LM INTERNATIONAL HOLDING L.P.OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 22, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:340cf2d4-b961-86ac-ac14-27f10d3417bd
First observed: Nov 22, 2011
Last observed: Jun 28, 2012 173 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.

LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED

CRD 147462

-CENTRAL

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:340cf2d4-b961-86ac-ac14-27f10d3417bd

Data as of Jun 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHAN, LAI SZE

HEAD OF HONG KONG & CHINA INVESTMENT & DIRECTOR

yes

07/2006

Nov 22, 2011

Jun 28, 2012

CHAN, SAU WAI DIANA

CHIEF COMPLIANCE OFFICER

yes

01/2012

Mar 30, 2012

Jun 28, 2012

HUI, ALVIN JOYUE

CHIEF LEGAL OFFICER

yes

04/2011

Mar 30, 2012

Jun 28, 2012

JOHNSON, TERRENCE, ANDREW

HEAD OF INTERNATIONAL DISTRIBUTION & DIRECTOR

yes

07/2007

Nov 22, 2011

Jun 28, 2012

LAROCQUE, JOSEPH, PATRICK

Director

yes

06/2009

Nov 22, 2011

Jun 28, 2012

LAU, HUI ZIN

ASIAN REGION CONTROLLER

yes

07/2011

Mar 30, 2012

Jun 28, 2012

LEGG MASON GLOBAL HOLDINGS LIMITED

LIMITED PARTNER

yes

03/2011

Mar 30, 2012

Jun 28, 2012

LEGG MASON INTERNATIONAL HOLDINGS, LLC

GENERAL PARTNER

yes

12/2004

Nov 22, 2011

Jun 28, 2012

LEGG MASON, INC.

SOLE STOCKHOLDER

yes

03/2011

Nov 22, 2011

Jun 28, 2012

LIM, HONG HENG LENNIE

HEAD OF ASIA DISTRIBUTION & DIRECTOR

yes

02/2008

Nov 22, 2011

Jun 28, 2012

LM INTERNATIONAL HOLDING L.P.

Shareholder

yes

01/2006

Nov 22, 2011

Jun 28, 2012

SHEARMAN, ROBERT, MICHAEL

DIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT

yes

10/2010

Nov 22, 2011

Jun 28, 2012

TSANG, SIU FOR, FREEMAN

DIRECTOR, BUSINESS DEVELOPMENT

yes

01/2010

Nov 22, 2011

Jun 28, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WESTERN ASSET MANAGEMENT COMPANY

n/a

Asset manager

$185B

yes

n/a

CLEARBRIDGE ADVISORS, LLC

n/a

Mixed wealth

$185B

yes

n/a

LEGG MASON GLOBAL ASSET ALLOCATION, LLC

n/a

Former SEC adviser

$8.9B

yes

n/a

BATTERYMARCH FINANCIAL MANAGEMENT INC

n/a

Former SEC adviser

$8.1B

yes

n/a

LEGG MASON CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$4.9B

yes

n/a

LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED

n/a

Former SEC adviser

$147M

yes

n/a

LEGG MASON ASSET MANAGEMENT SINGAPORE PTE. LIMITED

n/a

yes

n/a

LEGG MASON INVESTMENTS (EUROPE) LIMITED

n/a

yes

n/a

LEGG MASON INVESTMENTS (TAIWAN) LIMITED

n/a

yes

n/a

LMM LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Jun 28, 2012

$734M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$734M

n/a