DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
W•••••• A•••• M••••••••• C•••••• L••••••
Latest filing Sep 16, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Apr 13, 1984
RAUM
$20B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$20B as of Aug 21, 2026
Jun 29, 2012$42B then
HNW client RAUM$0 as of Aug 21, 2026
Dec 21, 2021$0 then
State-registered IARs (5.B.3)0 as of Aug 21, 2026
Jun 28, 20130 then
Employees (5.A)27 as of Aug 21, 2026
Jun 28, 201372 then
Private funds: no history
RAUM -40% over the last fiscal year-11% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $591MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$14B70%
- Pooled investment vehicles$1.7B8.2%
- State and municipal entities$1.4B6.8%
- Corporations and businesses$1.1B5.5%
- Insurance companies$942M4.7%
- Charitable organizations$603M3.0%
- Pension and profit-sharing plans$277M1.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 34reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.08 institutional_share=0.86 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• C•••••••• A•• · Director And Senior Executive Officercontrolsince 10/2022 · owns less than 5%
- M•••••••• T•••••• C•••••• · Chairmancontrolsince 07/2022 · owns less than 5%
- P•••••••• J•••••• N•• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- Z•••••• M••••••• B••••• · Director And Senior Executive Officercontrolsince 05/2002 · owns less than 5%
Entity owners
- L••• M•••• G••••• H••••••• L••• · Sole Shareholderdirect · owns 75% or more
- E•• H••••••• ••••••• L•••••• · Jt Partners Of T•••••••• International Inc. And Lmgh Ltdindirect · owns 75% or more of L••• M•••• G••••• H••••••• L•••
- F••••••• R••••••••• I••• · Sole Shareholder Of L••• M••••• I•••indirect · owns 75% or more of L••• M••••• I••• · public reporting company
- L••• M••••• I••• · Sole Shareholderindirect · owns 75% or more of T•••••••• W••••••••• I•••
- T•••••••• I••••••••• I••• · Sole Shareholder Of E•• H••••••• ••••••• L•••••• And Jt Partner Of Lmgh Ltdindirect · owns 75% or more of E•• H••••••• ••••••• L••••••
- T•••••••• W••••••••• I••• · Sole Shareholderindirect · owns 75% or more of T•••••••• I••••••••• I•••
Related persons
Schedule D 7.A
- F••••••• T•••••••• A•••••••• L••••••investment adviserbankn
- F••••••• T•••••••• F••• A••••••• L••investment adviserbanknRAUM $167B
- F••••••• T•••••••• I••••••••• S••••••• S•• R•••broker-dealerinvestment adviserbankn
- W•••••• A•••• M••••••••• C•••••• D••••••••• D• T•••••• E• V•••investment advisern
- W•••••• A•••• M••••••••• C•••••• L••investment advisernRAUM $2.6B
- W•••••• A•••• M••••••••• C•••••• P•• L••investment advisernRAUM $2.8B
- W•••••• A•••• M••••••••• C•••••• P•• L••investment advisern
- W•••••• A•••• M••••••••• C••••••investment adviserbankpooled vehicle sponsoryRAUM $185B
Advisers that list W•••••• A•••• M••••••••• C•••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Zurich, Switzerland1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Feb 10, 2026employees (Item 5.A) moved from 49.0 to 27.0 (-45.0%) between the annual amendments of 2024-12-23 and 2026-02-10; the peer median change was +2.0% (79 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $20B and over (79) · 0.0% percentile
- RAUM down 25 %Change between filings · filing Feb 10, 2026RAUM (Item 5.F) moved from $33,564,819,451 to $20,094,199,212 (-40.0%) between the annual amendments of 2024-12-23 and 2026-02-10; the peer median change was +11.0% (83 comparable advisers, 2.0th percentile of changes)peers: institutional managers, $20B and over (83) · 2.4% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 21, 2026 to Sep 16, 2026
- HQ state · to unsetAug 21, 2026 to Sep 16, 2026
- Succession · false to unsetAug 21, 2026 to Sep 16, 2026
- Accounts · 60 to 34Dec 23, 2024 to Dec 12, 2025
- Advisory employees · 14 to 16Dec 23, 2024 to Dec 12, 2025
- Charity clients · 8 to 5Dec 23, 2024 to Dec 12, 2025
- Pension plan clients · 7 to 2Dec 23, 2024 to Dec 12, 2025
- Pooled vehicle clients · 22 to 12Dec 23, 2024 to Dec 12, 2025
- Employees · 49 to 27Dec 23, 2024 to Dec 12, 2025
- Financial planning clients · unset to Dec 23, 2024 to Dec 12, 2025
- HQ state · unset to Dec 23, 2024 to Dec 12, 2025
- Other offices · 1 to 0Dec 23, 2024 to Dec 12, 2025
- Discretionary RAUM · $34B to $20BDec 23, 2024 to Dec 12, 2025
- Pension RAUM · $2.1B to $277MDec 23, 2024 to Dec 12, 2025
- Pooled vehicle RAUM · $5.8B to $1.7BDec 23, 2024 to Dec 12, 2025
- RAUM · $34B to $20BDec 23, 2024 to Dec 12, 2025
- Accounts · 78 to 60Dec 20, 2023 to Dec 23, 2024
- Advisory employees · 22 to 14Dec 20, 2023 to Dec 23, 2024
- Charity clients · 9 to 8Dec 20, 2023 to Dec 23, 2024
- Corporate clients · 4 to 3Dec 20, 2023 to Dec 23, 2024
- Pension plan clients · 12 to 7Dec 20, 2023 to Dec 23, 2024
- Pooled vehicle clients · 33 to 22Dec 20, 2023 to Dec 23, 2024
- Employees · 59 to 49Dec 20, 2023 to Dec 23, 2024
- Discretionary RAUM · $28B to $34BDec 20, 2023 to Dec 23, 2024
- Pension RAUM · $2.2B to $2.1BDec 20, 2023 to Dec 23, 2024
- Pooled vehicle RAUM · $7.8B to $5.8BDec 20, 2023 to Dec 23, 2024
- RAUM · $28B to $34BDec 20, 2023 to Dec 23, 2024
- Accounts · 87 to 78Jun 1, 2023 to Dec 20, 2023
- Advisory employees · 23 to 22Jun 1, 2023 to Dec 20, 2023
- Charity clients · 8 to 9Jun 1, 2023 to Dec 20, 2023
- Corporate clients · 3 to 4Jun 1, 2023 to Dec 20, 2023
- Pension plan clients · 14 to 12Jun 1, 2023 to Dec 20, 2023
- Pooled vehicle clients · 38 to 33Jun 1, 2023 to Dec 20, 2023
- Employees · 65 to 59Jun 1, 2023 to Dec 20, 2023
- Discretionary RAUM · $28B to $28BJun 1, 2023 to Dec 20, 2023
- Pension RAUM · $2.8B to $2.2BJun 1, 2023 to Dec 20, 2023
- Pooled vehicle RAUM · $7.5B to $7.8BJun 1, 2023 to Dec 20, 2023
- RAUM · $28B to $28BJun 1, 2023 to Dec 20, 2023
- Accounts · 91 to 87Aug 11, 2022 to Dec 22, 2022
- Advisory employees · 18 to 23Aug 11, 2022 to Dec 22, 2022
Signals
4 dated events
- W•••••• A•••• M••••••••• C•••••• L•••••• reported RAUM $20.1B, down 40% from $33.6B (2024-12-23 to 2025-12-12)Dec 12, 2025 · RAUM change · derived
- Ann C••••••• H••••••• (Director And Senior Executive Officer) appeared on Schedule A of W•••••• A•••• M••••••••• C•••••• L••••••Dec 22, 2022 · Control person joined · fact
- Antony Charles Ruys De Perez (General Counsel And Director) no longer on Schedule A of W•••••• A•••• M••••••••• C•••••• L•••••• (listed 2021-12-21, absent 2022-08-11)Aug 11, 2022 · Control person left · inference
- Ann D•••• (Finance Officer) no longer on Schedule A of W•••••• A•••• M••••••••• C•••••• L•••••• (listed 2020-03-24, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- westernasset.com/eureportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 011-44-20-7422-3000reportedpublic record, Form ADV, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026