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

ESEMPLIA EMERGING MARKETS

LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED, CRD 159125

CENTRAL

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Search this name across graphsid dfx:ria:6c5cd19f-8f84-ecf0-ba39-ddfecff33c8f

Data as of Jun 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 30, 2014
8 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: $147MItem 5.F on the latest filing (2014-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $147M
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: 4
Advisory employees: 3
Accounts: 3
SEC number: 801-72805
CRD: 159125
Filings on the tape: 8
First filed: Mar 30, 2012
Latest filed: Jun 30, 2014
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
LAROCQUE, JOSEPH, PATRICK	Director	Na	yes	06/2009	Mar 30, 2012	Jun 30, 2014
LEGG MASON GLOBAL HOLDINGS LIMITED	LIMITED PARTNER	E	yes	03/2011	Apr 3, 2012	Jun 30, 2014
LEGG MASON INTERNATIONAL HOLDINGS, LLC	GENERAL PARTNER	E	yes	12/2004	Mar 30, 2012	Jun 30, 2014
LEGG MASON, INC.	SOLE STOCKHOLDER	E	yes	03/2011	Mar 30, 2012	Jun 30, 2014
LM INTERNATIONAL HOLDING L.P.	Shareholder	E	yes	01/2006	Mar 30, 2012	Jun 30, 2014
SHEARMAN, ROBERT, MICHAEL	DIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT	Na	yes	09/2010	Mar 30, 2012	Jun 30, 2014
CHAN, LAI SZE	Director	Na	no	09/2013	Mar 30, 2012	Jun 30, 2014
CHAN, SAU WAI DIANA	CHIEF COMPLIANCE OFFICER	Na	no	09/2013	Oct 22, 2013	Jun 30, 2014

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
LEGG MASON GLOBAL ASSET ALLOCATION, LLC	n/a	Former SEC adviser	$8.9B	N	yes	n/a
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED	n/a	Former SEC adviser	$734M	N	yes	n/a
LEGG MASON INTERNATIONAL EQUITIES LIMITED	n/a	Former SEC adviser	$698M	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 (IRELAND) 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
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
2014	Jun 30, 2014	$147M	$147M	4	3	n/a	n/a	n/a
2013	Jun 28, 2013	$318M	$318M	7	5	n/a	n/a	n/a
2012	Jun 28, 2012	$862M	$862M	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
2014	$147M	$318M	-53.6%	n/a	n/a	4	7	n/a	n/a

Relationships

Affiliated with (5)

→ ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, common control
factForm ADV
→ QS LEGG MASON GLOBAL ASSET ALLOCATION, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ LEGG MASON ASSET MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← ESEMPLIA EMERGING MARKETSRegistered adviserother investment adviser, common control
factForm ADV
← LEGG MASON ASSET MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← LAROCQUE, JOSEPH, PATRICKOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SHEARMAN, ROBERT, MICHAELOwnerDIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LEGG MASON GLOBAL HOLDINGS LIMITEDOwnerLIMITED PARTNER, ownership code E, foreign entity
Apr 3, 2012 to presentfactForm ADV
← LEGG MASON INTERNATIONAL HOLDINGS, LLCOwnerGENERAL PARTNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← LEGG MASON, INC.OwnerSOLE STOCKHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← LM INTERNATIONAL HOLDING L.P.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← CHAN, LAI SZEOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CHAN, SAU WAI DIANAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 22, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c5cd19f-8f84-ecf0-ba39-ddfecff33c8f
First observed: Mar 30, 2012
Last observed: Jun 30, 2014 148 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.

ESEMPLIA EMERGING MARKETS

LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED, CRD 159125

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:6c5cd19f-8f84-ecf0-ba39-ddfecff33c8f

Data as of Jun 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAROCQUE, JOSEPH, PATRICK

Director

yes

06/2009

Mar 30, 2012

Jun 30, 2014

LEGG MASON GLOBAL HOLDINGS LIMITED

LIMITED PARTNER

yes

03/2011

Apr 3, 2012

Jun 30, 2014

LEGG MASON INTERNATIONAL HOLDINGS, LLC

GENERAL PARTNER

yes

12/2004

Mar 30, 2012

Jun 30, 2014

LEGG MASON, INC.

SOLE STOCKHOLDER

yes

03/2011

Mar 30, 2012

Jun 30, 2014

LM INTERNATIONAL HOLDING L.P.

Shareholder

yes

01/2006

Mar 30, 2012

Jun 30, 2014

SHEARMAN, ROBERT, MICHAEL

DIRECTOR, HEAD OF INTERNATIONAL PRODUCT MANAGEMENT

yes

09/2010

Mar 30, 2012

Jun 30, 2014

CHAN, LAI SZE

Director

09/2013

Mar 30, 2012

Jun 30, 2014

CHAN, SAU WAI DIANA

CHIEF COMPLIANCE OFFICER

09/2013

Oct 22, 2013

Jun 30, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEGG MASON GLOBAL ASSET ALLOCATION, LLC

n/a

Former SEC adviser

$8.9B

yes

n/a

LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED

n/a

Former SEC adviser

$734M

yes

n/a

LEGG MASON INTERNATIONAL EQUITIES LIMITED

n/a

Former SEC adviser

$698M

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 (IRELAND) LIMITED

n/a

yes

n/a

LEGG MASON INVESTMENTS (TAIWAN) 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

2014

Jun 30, 2014

$147M

n/a

2013

Jun 28, 2013

$318M

n/a

2012

Jun 28, 2012

$862M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$147M

$318M

-53.6%

n/a