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

QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC

CRD 142333

NEW YORK, NY

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:4e177890-2569-560d-323e-552e525fe34c

Data as of Dec 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Dec 16, 2015
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: $8.9BItem 5.F on the latest filing (2015-12-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.2B
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
Employees: 57
Advisory employees: 14
Accounts: 31
Custody, client assets: $3.7B
SEC number: 801-67287
CRD: 142333
Filings on the tape: 16
First filed: Mar 28, 2012
Latest filed: Dec 16, 2015
Organised: Limited Liability Company, Delaware

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
CAMPAGNA, JANET, CAROL	DIRECTOR AND CHIEF EXECUTIVE OFFICER	Na	yes	05/2014	Jun 6, 2014	Dec 16, 2015
KENNEY, JOHN, DUFF	Director	Na	yes	05/2014	Mar 28, 2012	Dec 16, 2015
LEGG MASON, INC.	SOLE MEMBER	E	yes	10/2006	Mar 28, 2012	Dec 16, 2015
MERCHANT, THOMAS, CLIFTON	Director	Na	yes	06/2015	Jun 29, 2015	Dec 16, 2015
NATTANS, JEFFREY, ALLEN	Director	Na	yes	05/2014	Jun 6, 2014	Dec 16, 2015
NORMAN, JAMES, HAYDEN	DIRECTOR AND PRESIDENT	Na	yes	05/2014	Jun 6, 2014	Dec 16, 2015
ROSE, THOMAS, GORDON	CHIEF FINANCIAL OFFICER AND TREASURER	Na	yes	05/2014	Jun 6, 2014	Dec 16, 2015
WANG, ROBERT, YU MING	CHIEF OPERATING OFFICER AND HEAD OF PORTFOLIO MANAGEMENT IMPLEMENTATION	Na	yes	01/2015	Feb 4, 2015	Dec 16, 2015
WILLIAMS, VANESSA, ANN	CHIEF COMPLIANCE OFFICER AND SECRETARY	Na	yes	12/2015	Dec 16, 2015	Dec 16, 2015

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 INVESTMENTS, LLC	n/a	Mixed wealth	$185B	N	yes	n/a
LEGG MASON PARTNERS FUND ADVISOR, LLC	n/a	Asset manager	$167B	N	yes	n/a
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC	n/a	Other adviser	$65B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY LIMITED	n/a	Institutional manager	$20B	N	yes	n/a
QS INVESTORS, LLC	n/a	Former SEC adviser	$19B	N	yes	n/a
ROYCE & ASSOCIATES, LLC	n/a	Asset manager	$12B	N	yes	n/a
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED	n/a	Other adviser	$9.9B	N	yes	n/a
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.	n/a	Former SEC adviser	$8.1B	N	yes	n/a
MARTIN CURRIE INC	n/a	Former SEC adviser	$7.3B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY PTE LTD	n/a	Institutional manager	$2.8B	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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	no

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
2015	Jun 29, 2015	$8.9B	$5.2B	57	14	n/a	n/a	n/a
2014	Jun 6, 2014	$7.8B	$4.3B	117	15	n/a	n/a	n/a
2013	Jun 24, 2013	$5.9B	$2.8B	11	5	n/a	n/a	n/a
2012	Jun 27, 2012	$5.2B	$2.4B	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
2015	$8.9B	$7.8B	14.4%	$5.2B	19.6%	57	117	n/a	n/a

Relationships

Affiliated with (16)

→ ROYCE INVESTMENT PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY LIMITEDRegistered adviserother investment adviser, 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
→ BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MARTIN CURRIE INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CLEARBRIDGE INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ FRANKLIN TEMPLETON FUND ADVISER, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY PTE LTDRegistered adviserother investment adviser, common control
factForm ADV
→ QS INVESTORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, bank, common control
factForm ADV
← ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, bank, common control
factForm ADV
← GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← LEGG MASON ASSET MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (9)

← WANG, ROBERT, YU MINGOwnerCHIEF OPERATING OFFICER AND HEAD OF PORTFOLIO MANAGEMENT IMPLEMENTATION, ownership code NA, individual
Feb 4, 2015 to presentfactForm ADV
← KENNEY, JOHN, DUFFOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← NATTANS, JEFFREY, ALLENOwnerDIRECTOR, ownership code NA, individual
Jun 6, 2014 to presentfactForm ADV
← MERCHANT, THOMAS, CLIFTONOwnerDIRECTOR, ownership code NA, individual
Jun 29, 2015 to presentfactForm ADV
← CAMPAGNA, JANET, CAROLOwnerDIRECTOR AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jun 6, 2014 to presentfactForm ADV
← ROSE, THOMAS, GORDONOwnerCHIEF FINANCIAL OFFICER AND TREASURER, ownership code NA, individual
Jun 6, 2014 to presentfactForm ADV
← NORMAN, JAMES, HAYDENOwnerDIRECTOR AND PRESIDENT, ownership code NA, individual
Jun 6, 2014 to presentfactForm ADV
← WILLIAMS, VANESSA, ANNOwnerCHIEF COMPLIANCE OFFICER AND SECRETARY, ownership code NA, individual
Dec 16, 2015 to presentfactForm ADV
← LEGG MASON, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e177890-2569-560d-323e-552e525fe34c
First observed: Mar 28, 2012
Last observed: Dec 16, 2015 131 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.

QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC

CRD 142333

NEW YORK, NY

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:4e177890-2569-560d-323e-552e525fe34c

Data as of Dec 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:48 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAMPAGNA, JANET, CAROL

DIRECTOR AND CHIEF EXECUTIVE OFFICER

yes

05/2014

Jun 6, 2014

Dec 16, 2015

KENNEY, JOHN, DUFF

Director

yes

05/2014

Mar 28, 2012

Dec 16, 2015

LEGG MASON, INC.

SOLE MEMBER

yes

10/2006

Mar 28, 2012

Dec 16, 2015

MERCHANT, THOMAS, CLIFTON

Director

yes

06/2015

Jun 29, 2015

Dec 16, 2015

NATTANS, JEFFREY, ALLEN

Director

yes

05/2014

Jun 6, 2014

Dec 16, 2015

NORMAN, JAMES, HAYDEN

DIRECTOR AND PRESIDENT

yes

05/2014

Jun 6, 2014

Dec 16, 2015

ROSE, THOMAS, GORDON

CHIEF FINANCIAL OFFICER AND TREASURER

yes

05/2014

Jun 6, 2014

Dec 16, 2015

WANG, ROBERT, YU MING

CHIEF OPERATING OFFICER AND HEAD OF PORTFOLIO MANAGEMENT IMPLEMENTATION

yes

01/2015

Feb 4, 2015

Dec 16, 2015

WILLIAMS, VANESSA, ANN

CHIEF COMPLIANCE OFFICER AND SECRETARY

yes

12/2015

Dec 16, 2015

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 INVESTMENTS, LLC

n/a

Mixed wealth

$185B

yes

n/a

LEGG MASON PARTNERS FUND ADVISOR, LLC

n/a

Asset manager

$167B

yes

n/a

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

n/a

Other adviser

$65B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY LIMITED

n/a

Institutional manager

$20B

yes

n/a

QS INVESTORS, LLC

n/a

Former SEC adviser

$19B

yes

n/a

ROYCE & ASSOCIATES, LLC

n/a

Asset manager

$12B

yes

n/a

MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED

n/a

Other adviser

$9.9B

yes

n/a

QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.

n/a

Former SEC adviser

$8.1B

yes

n/a

MARTIN CURRIE INC

n/a

Former SEC adviser

$7.3B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY PTE LTD

n/a

Institutional manager

$2.8B

yes

n/a

LEGG MASON INVESTMENTS (EUROPE) LIMITED

n/a

yes

n/a

LEGG MASON INVESTOR SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Jun 29, 2015

$8.9B

$5.2B

n/a

2014

Jun 6, 2014

$7.8B

$4.3B

117

n/a

2013

Jun 24, 2013

$5.9B

$2.8B

n/a

2012

Jun 27, 2012

$5.2B

$2.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$8.9B

$7.8B

14.4%

$5.2B

19.6%

117

n/a