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.

Former SEC-registered adviser

Clearbridge Investments

Former SEC-registered adviserBaltimore, MarylandCRD 110619SEC 801-18115IAPD
Legal name Clearbridge, LLC
Latest filing Sep 6, 2018
First filing on the tape Jan 19, 2012 · 16 filings
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$2.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.9B as of Jun 28, 2018
Jun 21, 2012$7.4B then
HNW client RAUM: $2.6M
State-registered IARs (5.B.3)2 as of Jun 28, 2018
Jun 21, 20120 then
Employees (5.A)17 as of Jun 28, 2018
Jun 28, 201329 then
Private funds: 5
RAUM +1.1% over the last fiscal year-5.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 6, 2018; every figure names its basis
RAUM per advisor
$2.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$405MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$4.3B89%
  • Pooled investment vehicles$510M10%
  • Pension and profit-sharing plans$5.0M0.1%
  • High-net-worth individuals$2.6M0.1%
Individual clients
0reported
HNW clients
1reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Lmcm Small Cap Fund, LLCno longer reportedOther Private Fund$1.9M15Jan 19, 2012
Lmcm Systematic Value Fund, LLCno longer reportedOther Private Fund$1.8M18Jan 19, 2012
Lmcm Global Technology Fund, LLCno longer reportedOther Private Fund$1.3M9Jan 19, 2012
Lmcm Global Health Care Fund, LLCno longer reportedOther Private Fund$1.2M9Jan 19, 2012
Owners and control persons
Schedule A and B, latest filing
  • David Harry Cohen · Co-Chief Investment Officercontrol
    since 06/2013 · owns less than 5%
  • Keith Scott Glasser · Co-Chief Investment Officercontrol
    since 06/2013 · owns less than 5%
  • Karen Cynthia List · Chief Financial Officercontrol
    since 06/2013 · owns less than 5%
  • Brooke Barbara Manning · General Counsel And Chief Compliance Officercontrol
    since 06/2013 · owns less than 5%
  • James Terrence Murphy · Chief Executive Officer, President, Chief Operating Officer And Managercontrol
    since 06/2013 · owns less than 5%
  • Hamilton Peter Nachtwey · Managercontrol
    since 10/2011 · owns less than 5%
  • Allen Jeffrey Nattans · Managercontrol
    since 04/2009 · owns less than 5%
Entity owners
  • Legg Mason, Inc. · Sole Member
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Clearbridge Investments as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 14 to 12
    Jun 27, 2017 to Jun 28, 2018
  • Advisory employees · 10 to 9
    Jun 27, 2017 to Jun 28, 2018
  • Charity clients · unset to 0.0
    Jun 27, 2017 to Jun 28, 2018
  • Corporate clients · unset to 0.0
    Jun 27, 2017 to Jun 28, 2018
  • HNW clients · unset to 1.0
    Jun 27, 2017 to Jun 28, 2018
  • Individual clients · unset to 0.0
    Jun 27, 2017 to Jun 28, 2018
  • Pension plan clients · unset to 1.0
    Jun 27, 2017 to Jun 28, 2018
  • Pooled vehicle clients · unset to 5.0
    Jun 27, 2017 to Jun 28, 2018
  • Employees · 18 to 17
    Jun 27, 2017 to Jun 28, 2018
  • Other offices · unset to 0.0
    Jun 27, 2017 to Jun 28, 2018
  • Discretionary RAUM · $4.8B to $4.9B
    Jun 27, 2017 to Jun 28, 2018
  • HNW RAUM · unset to 2584564.0
    Jun 27, 2017 to Jun 28, 2018
  • Individual RAUM · unset to 0.0
    Jun 27, 2017 to Jun 28, 2018
  • Pension RAUM · unset to 4980191.0
    Jun 27, 2017 to Jun 28, 2018
  • Pooled vehicle RAUM · unset to 509791229.0
    Jun 27, 2017 to Jun 28, 2018
  • RAUM · $4.8B to $4.9B
    Jun 27, 2017 to Jun 28, 2018
  • Accounts · 16 to 14
    Jun 28, 2016 to Jun 27, 2017
  • Advisory employees · 9 to 10
    Jun 28, 2016 to Jun 27, 2017
  • BD registered reps · 4 to 3
    Jun 28, 2016 to Jun 27, 2017
  • Discretionary RAUM · $5.2B to $4.8B
    Jun 28, 2016 to Jun 27, 2017
  • RAUM · $5.2B to $4.8B
    Jun 28, 2016 to Jun 27, 2017
  • Accounts · 15 to 16
    Jan 25, 2016 to Jun 28, 2016
  • Advisory employees · 10 to 9
    Jan 25, 2016 to Jun 28, 2016
  • BD registered reps · 5 to 4
    Jan 25, 2016 to Jun 28, 2016
  • Employees · 21 to 18
    Jan 25, 2016 to Jun 28, 2016
  • Discretionary RAUM · $5.8B to $5.2B
    Jan 25, 2016 to Jun 28, 2016
  • RAUM · $5.8B to $5.2B
    Jan 25, 2016 to Jun 28, 2016
  • BD registered reps · 6 to 5
    Jun 26, 2014 to Jun 26, 2015
  • Business name · CLEARBRIDGE, LLC to CLEARBRIDGE INVESTMENTS
    Jun 26, 2014 to Jun 26, 2015
  • Employees · 23 to 21
    Jun 26, 2014 to Jun 26, 2015
  • Discretionary RAUM · $5.4B to $5.8B
    Jun 26, 2014 to Jun 26, 2015
  • RAUM · $5.4B to $5.8B
    Jun 26, 2014 to Jun 26, 2015
  • Accounts · 18 to 15
    Jun 6, 2014 to Jun 26, 2014
  • Advisory employees · 13 to 10
    Jun 6, 2014 to Jun 26, 2014
  • BD registered reps · 8 to 6
    Jun 6, 2014 to Jun 26, 2014
  • Employees · 29 to 23
    Jun 6, 2014 to Jun 26, 2014
  • State-registered IARs · 3 to 2
    Jun 6, 2014 to Jun 26, 2014
  • Discretionary RAUM · $5.8B to $5.4B
    Jun 6, 2014 to Jun 26, 2014
  • RAUM · $5.8B to $5.4B
    Jun 6, 2014 to Jun 26, 2014
  • Business name · LEGG MASON CAPITAL MANAGEMENT, LLC to CLEARBRIDGE, LLC
    Mar 10, 2014 to Apr 30, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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