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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TITULOS E VALO

CRD 153986

SAO PAULO

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:72e69117-31a8-b4f8-b1a9-4efa8a52213b

Data as of Aug 7, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2011 to Aug 7, 2020
15 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: $11BItem 5.F on the latest filing (2020-08-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $11B
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: 65
Advisory employees: 18
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 158
SEC number: 801-71657
CRD: 153986
Filings on the tape: 15
First filed: Dec 21, 2011
Latest filed: Aug 7, 2020
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
Amorim da Silva Haddad, Luciana	Director	Na	yes	08/2015	Mar 30, 2016	Aug 7, 2020
CLINI, PAULO, EDUARDO	Director	Na	yes	12/2008	Dec 21, 2011	Aug 7, 2020
Forster, Marc	EXECUTIVE DIRECTOR AND DIRECTOR	Na	yes	08/2015	Mar 30, 2016	Aug 7, 2020
FRANKLIN RESOURCES, INC.	SOLE SHAREHOLDER OF LEGG MASON INC.	E	yes	07/2020	Aug 7, 2020	Aug 7, 2020
LEGG MASON GLOBAL HOLDINGS LIMITED	Shareholder	D	yes	03/2011	Dec 21, 2011	Aug 7, 2020
LEGG MASON INTERNATIONAL HOLDINGS LLC	Shareholder	D	yes	03/2011	Dec 21, 2011	Aug 7, 2020
LEGG MASON, INC.	Shareholder	E	yes	01/2008	Dec 21, 2011	Aug 7, 2020
LM HOLDINGS 2 LIMITED	Shareholder	E	yes	03/2011	Dec 21, 2011	Aug 7, 2020
LM INTERNATIONAL HOLDINGS LP	Shareholder	E	yes	03/2011	Dec 21, 2011	Aug 7, 2020
NEUBERN, ANDERSON, CLEITON FERREIRA	CHIEF OPERATIONS OFFICER	Na	yes	09/2010	Dec 21, 2011	Aug 7, 2020
SILVEIRA, LUCIANA, BARBOSA	DIRECTOR AND CHIEF COMPLIANCE OFFICER	Na	yes	05/2015	Oct 6, 2015	Aug 7, 2020
WESTERN ASSET MANAGEMENT (BRASIL) HOLDINGS LIMITADA	Shareholder	E	yes	01/2008	Dec 21, 2011	Aug 7, 2020

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, LLC	n/a	Asset manager	$185B	Y	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY LIMITED	n/a	Institutional manager	$20B	N	yes	n/a
CLEARBRIDGE, LLC	n/a	Former SEC adviser	$4.9B	Y	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY PTE LTD	n/a	Institutional manager	$2.8B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY LTD	n/a	Former SEC adviser	$2.6B	N	yes	n/a
LEGG MASON ASSET MANAGEMENT (JAPAN) CO., LTD.	n/a	n/a	n/a	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY PTY LTD	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
2019	Mar 24, 2020	$11B	$11B	65	18	0	n/a	n/a
2018	Mar 20, 2019	$11B	$11B	66	18	0	n/a	n/a
2017	Mar 22, 2018	$13B	$13B	66	18	0	n/a	n/a
2016	Mar 31, 2017	$12B	$12B	66	18	n/a	n/a	n/a
2015	Mar 30, 2016	$9.3B	$9.3B	67	18	n/a	n/a	n/a
2014	Mar 31, 2015	$13B	$13B	67	19	n/a	n/a	n/a
2013	Mar 31, 2014	$14B	$14B	69	19	n/a	n/a	n/a
2012	Mar 27, 2013	$18B	$18B	69	19	n/a	n/a	n/a
2011	Apr 2, 2012	$18B	$18B	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
2019	$11B	$11B	6.2%	$12B	-2.4%	65	66	0	0

Relationships

Affiliated with (14)

← FRANKLIN ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FRANKLIN ADVISERS, INC.Registered adviserother investment adviser, common control
factForm ADV
← FRANKLIN TEMPLETON INSTITUTIONAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FRANKLIN MUTUAL ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FRANKLIN TEMPLETON INVESTMENTS CORP.Registered adviserother investment adviser, common control
factForm ADV
← FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
← 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
→ WESTERN ASSET MANAGEMENT COMPANY LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY PTE LTDRegistered adviserother investment adviser, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (12)

← CLINI, PAULO, EDUARDOOwnerDIRECTOR, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← NEUBERN, ANDERSON, CLEITON FERREIRAOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← SILVEIRA, LUCIANA, BARBOSAOwnerDIRECTOR AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 6, 2015 to presentfactForm ADV
← Amorim da Silva Haddad, LucianaOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← Forster, MarcOwnerEXECUTIVE DIRECTOR AND DIRECTOR, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← FRANKLIN RESOURCES, INC.OwnerSOLE SHAREHOLDER OF LEGG MASON INC., ownership code E, domestic entity
Aug 7, 2020 to presentfactForm ADV
← LEGG MASON GLOBAL HOLDINGS LIMITEDOwnerSHAREHOLDER, ownership code D, foreign entity
Dec 21, 2011 to presentfactForm ADV
← LEGG MASON INTERNATIONAL HOLDINGS LLCOwnerSHAREHOLDER, ownership code D, domestic entity
Dec 21, 2011 to presentfactForm ADV
← LEGG MASON, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← LM HOLDINGS 2 LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2011 to presentfactForm ADV
← LM INTERNATIONAL HOLDINGS LPOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2011 to presentfactForm ADV
← WESTERN ASSET MANAGEMENT (BRASIL) HOLDINGS LIMITADAOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72e69117-31a8-b4f8-b1a9-4efa8a52213b
First observed: Dec 21, 2011
Last observed: Aug 7, 2020 74 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.

WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TITULOS E VALO

CRD 153986

SAO PAULO

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:72e69117-31a8-b4f8-b1a9-4efa8a52213b

Data as of Aug 7, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Amorim da Silva Haddad, Luciana

Director

yes

08/2015

Mar 30, 2016

Aug 7, 2020

CLINI, PAULO, EDUARDO

Director

yes

12/2008

Dec 21, 2011

Aug 7, 2020

Forster, Marc

EXECUTIVE DIRECTOR AND DIRECTOR

yes

08/2015

Mar 30, 2016

Aug 7, 2020

FRANKLIN RESOURCES, INC.

SOLE SHAREHOLDER OF LEGG MASON INC.

yes

07/2020

Aug 7, 2020

LEGG MASON GLOBAL HOLDINGS LIMITED

Shareholder

yes

03/2011

Dec 21, 2011

Aug 7, 2020

LEGG MASON INTERNATIONAL HOLDINGS LLC

Shareholder

yes

03/2011

Dec 21, 2011

Aug 7, 2020

LEGG MASON, INC.

Shareholder

yes

01/2008

Dec 21, 2011

Aug 7, 2020

LM HOLDINGS 2 LIMITED

Shareholder

yes

03/2011

Dec 21, 2011

Aug 7, 2020

LM INTERNATIONAL HOLDINGS LP

Shareholder

yes

03/2011

Dec 21, 2011

Aug 7, 2020

NEUBERN, ANDERSON, CLEITON FERREIRA

CHIEF OPERATIONS OFFICER

yes

09/2010

Dec 21, 2011

Aug 7, 2020

SILVEIRA, LUCIANA, BARBOSA

DIRECTOR AND CHIEF COMPLIANCE OFFICER

yes

05/2015

Oct 6, 2015

Aug 7, 2020

WESTERN ASSET MANAGEMENT (BRASIL) HOLDINGS LIMITADA

Shareholder

yes

01/2008

Dec 21, 2011

Aug 7, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WESTERN ASSET MANAGEMENT COMPANY, LLC

n/a

Asset manager

$185B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY LIMITED

n/a

Institutional manager

$20B

yes

n/a

CLEARBRIDGE, LLC

n/a

Former SEC adviser

$4.9B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY PTE LTD

n/a

Institutional manager

$2.8B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY LTD

n/a

Former SEC adviser

$2.6B

yes

n/a

LEGG MASON ASSET MANAGEMENT (JAPAN) CO., LTD.

n/a

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY PTY LTD

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 24, 2020

$11B

n/a

2018

Mar 20, 2019

$11B

n/a

2017

Mar 22, 2018

$13B

n/a

2016

Mar 31, 2017

$12B

n/a

2015

Mar 30, 2016

$9.3B

n/a

2014

Mar 31, 2015

$13B

n/a

2013

Mar 31, 2014

$14B

n/a

2012

Mar 27, 2013

$18B

n/a

2011

Apr 2, 2012

$18B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$11B

6.2%

$12B

-2.4%