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.
SEC-registered adviser
Clearbridge Investment Management Limited
Latest filing Sep 16, 2026
First filing on the tape Nov 28, 2011 · 42 filings
SEC status approved since Jan 27, 2006
RAUM
$9.9B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
17%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$9.9B as of Aug 21, 2026
Mar 28, 2012$6.0B then
HNW client RAUM$40.8M as of Aug 21, 2026
Dec 18, 2025$40.8M then
State-registered IARs (5.B.3)0 as of Aug 21, 2026
Mar 28, 20120 then
Employees (5.A)44 as of Aug 21, 2026
Mar 28, 2013200 then
Private funds3 as of Mar 21, 2014
Mar 28, 20126 then
RAUM +5.0% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
- 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
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 24%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
- +2.0%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
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Pooled investment vehicles$4.7B48%
- Individuals$1.7B17%
- Pension and profit-sharing plans$1.5B15%
- State and municipal entities$672M6.8%
- Other investment advisers$653M6.6%
- Investment companies$294M3.0%
- Charitable organizations$216M2.2%
- Corporations and businesses$105M1.1%
- High-net-worth individuals$40.8M0.4%
- Insurance companies$310,2040.0%
- Individual clients
- 4,987reported
- HNW clients
- 7reported
- Pension plan clients
- 22reported
- Charitable clients
- 38reported
- Accounts
- 5,185reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $2.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.17 fund_share=0.58 institutional_share=0.24 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Martin Currie Absolute Return Funds - Global Resources Fundno longer reported | Hedge Fund | $15.4M | 24 | Mar 28, 2012 |
| Martin Currie Absolute Return Funds - China Fundno longer reported | Hedge Fund | $6.0M | 4 | Mar 28, 2012 |
| Martin Currie Absolute Return Funds - Global Financials Fundno longer reported | Hedge Fund | $0 | 0 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- John Michael Browne · Directorcontrolsince 02/2022 · owns less than 5%
- Melville George Bucher · Directorcontrolsince 02/2022 · owns less than 5%
- James Stuart Davidson · Director, Chief Financial Officer, Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- Penman Jennifer Mair · Chief Executive Officer, Directorcontrolsince 10/2023 · owns less than 5%
- Helen Grace Joanna Nolan · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
Entity owners
- Martin Currie Limited · Parent Companydirect · owns 75% or more
- Franklin Resources, Inc · Sole Shareholder Of Legg Mason, Inc.indirect · owns 75% or more of Legg Mason Inc · public reporting company
- Legg Mason Global Holdings Ltd · Indirect Ownerindirect · owns 75% or more of Legg Mason Holdings, LLC
- Legg Mason Inc · Indirect Ownerindirect · owns 75% or more of Legg Mason Global Holdings Ltd
- Martin Currie (Holdings) Limited · Indirect Shareholderindirect · owns 75% or more of Martin Currie Limited
- Templeton International Inc · Parent Corporationindirect · owns 75% or more of Legg Mason Global Holdings Ltd
- Templeton Worldwide, Inc. · Parent Corporationindirect · owns 75% or more of Templeton International Inc
Related persons
Schedule D 7.A
- Benefit Street Partners Limitedinvestment adviserbanknRAUM $23B
- Bsp Ny LLCinvestment adviserbanknRAUM $14B
- Benefit Street Partners L.L.C.investment advisernRAUM $28B
- Brandywine Global Investment Management (Asia) Pte. Ltdinvestment advisery
- Brandywine Global Investment Management, LLCinvestment adviserbankpooled vehicle sponsoryRAUM $65B
- Bsp Clo Management LLCinvestment advisernRAUM $12B
- China Life Franklin Asset Management Co., Limitedinvestment advisern
- Clarion Partners Emea Limitedbroker-dealern
- Clarion Partners Europe (U.K.) Limitedbroker-dealerinvestment advisern
- Clarion Partners Europe Limitedinvestment advisern
- Clarion Partners Securities, LLCbroker-dealern
- Clarion Partnersbroker-dealerinvestment advisernRAUM $74B
- Clearbridge Investments (North America) Pty Limitedinvestment advisernRAUM $2.2B
- Clearbridge Investments Limitedinvestment advisern
- Clearbridge Investments, LLCinvestment adviserbankpooled vehicle sponsornRAUM $185B
- Darby Asia Investors (Hk), Ltd.investment advisern
- Darby Asia Investors, Ltd.investment advisern
- Darby Overseas Partners, L.P.investment advisernRAUM $154M
- Fiduciary Trust Company Of Canadainvestment advisern
- Fiduciary Trust International, LLCinvestment adviserbanknRAUM $7.7B
- Franklin Advisers, Inc.investment adviserbanknRAUM $509B
- Franklin Advisory Services, LLCinvestment adviserbanknRAUM $14B
- Franklin Bsp Capital Adviser LLCinvestment advisernRAUM $4.2B
- Franklin Distributors, LLCbroker-dealern
- Franklin Mutual Advisers, LLCinvestment adviserbanknRAUM $43B
- Franklin Templeton Alts Brasil Admin. De Investimentos Ltda.investment advisery
- Franklin Templeton Asset Management (Malaysia) Sdn. Bhd.investment advisern
- Franklin Templeton Asset Management Mexico, S.A. De C.V., Sociedad Operadora De Fondos De Inversioninvestment advisern
- Franklin Templeton Australia Limitedinvestment adviserbankn
- Franklin Templeton Fund Adviser, LLCinvestment adviserbanknRAUM $167B
Advisers that list Clearbridge Investment Management Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
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 · 36 to 5,185Sep 30, 2025 to Dec 18, 2025
- Advisory employees · 35 to 16Sep 30, 2025 to Dec 18, 2025
- Advisory activities · 2 to 4Sep 30, 2025 to Dec 18, 2025
- BD registered reps · 1 to 0Sep 30, 2025 to Dec 18, 2025
- Charity clients · 0 to 38Sep 30, 2025 to Dec 18, 2025
- Corporate clients · 1 to 105Sep 30, 2025 to Dec 18, 2025
- HNW clients · 0 to 7Sep 30, 2025 to Dec 18, 2025
- Individual clients · 0 to 4,987Sep 30, 2025 to Dec 18, 2025
- Pension plan clients · 7 to 22Sep 30, 2025 to Dec 18, 2025
- Pooled vehicle clients · 27 to 16Sep 30, 2025 to Dec 18, 2025
- Employees · 77 to 44Sep 30, 2025 to Dec 18, 2025
- Discretionary RAUM · $9.6B to $9.2BSep 30, 2025 to Dec 18, 2025
- HNW RAUM · unset to 40773399.0Sep 30, 2025 to Dec 18, 2025
- Individual RAUM · unset to 1668165781.0Sep 30, 2025 to Dec 18, 2025
- Non-discretionary RAUM · $0 to $653MSep 30, 2025 to Dec 18, 2025
- Pension RAUM · $2.1B to $1.5BSep 30, 2025 to Dec 18, 2025
- Pooled vehicle RAUM · $7.0B to $4.7BSep 30, 2025 to Dec 18, 2025
- RAUM · $9.6B to $9.9BSep 30, 2025 to Dec 18, 2025
- Wrap assets (manager) · unset to 2299308966.0Sep 30, 2025 to Dec 18, 2025
- Wrap assets (sponsor) · unset to 0.0Sep 30, 2025 to Dec 18, 2025
- Business name · MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED to CLEARBRIDGE INVESTMENT MANAGEMENT LIMITEDAug 19, 2025 to Sep 30, 2025
- Legal name · MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED to CLEARBRIDGE INVESTMENT MANAGEMENT LIMITEDAug 19, 2025 to Sep 30, 2025
- Financial planning clients · unset to Dec 13, 2024 to Aug 19, 2025
- HQ state · unset to Dec 13, 2024 to Aug 19, 2025
- Accounts · 39 to 36Apr 5, 2024 to Dec 13, 2024
- Pension plan clients · 8 to 7Apr 5, 2024 to Dec 13, 2024
- Pooled vehicle clients · 29 to 27Apr 5, 2024 to Dec 13, 2024
- Employees · 81 to 77Apr 5, 2024 to Dec 13, 2024
- Discretionary RAUM · $9.4B to $9.6BApr 5, 2024 to Dec 13, 2024
- Pension RAUM · $1.8B to $2.1BApr 5, 2024 to Dec 13, 2024
- Pooled vehicle RAUM · $7.2B to $7.0BApr 5, 2024 to Dec 13, 2024
- RAUM · $9.4B to $9.6BApr 5, 2024 to Dec 13, 2024
- BD registered reps · 5 to 1Dec 19, 2023 to Apr 5, 2024
- Accounts · 24 to 39Oct 4, 2023 to Dec 19, 2023
- Advisory employees · 34 to 35Oct 4, 2023 to Dec 19, 2023
- Pension plan clients · 6 to 8Oct 4, 2023 to Dec 19, 2023
- Pooled vehicle clients · 30 to 29Oct 4, 2023 to Dec 19, 2023
Signals
21 dated events
- Helen Grace Joanna Nolan (Chief Compliance Officer) appeared on Schedule A of Clearbridge Investment Management LimitedApr 5, 2024 · Control person joined · fact
- John Stewart Brown (Chief Compliance Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2023-12-19, absent 2024-04-05)Apr 5, 2024 · Control person left · inference
- David Julian Ide (Director, Ceo) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2023-01-10, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Penman Jennifer Mair (Director, Chief Operating Officer) appeared on Schedule A of Clearbridge Investment Management LimitedDec 16, 2022 · Control person joined · fact
- Melville George Bucher (Director, Co-Head Distribution) appeared on Schedule A of Clearbridge Investment Management LimitedDec 16, 2022 · Control person joined · fact
- John Michael Browne (Director, Global Head Of Investment Strategy And Oversight) appeared on Schedule A of Clearbridge Investment Management LimitedDec 16, 2022 · Control person joined · fact
- John Stewart Brown (Chief Compliance Officer) appeared on Schedule A of Clearbridge Investment Management LimitedDec 13, 2021 · Control person joined · fact
- John Nigel Anderson (Chief Compliance Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2021-10-04, absent 2021-12-13)Dec 13, 2021 · Control person left · inference
- Angus Euan Wilson (Director) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2021-06-29, absent 2021-10-04)Oct 4, 2021 · Control person left · inference
- Clearbridge Investment Management Limited reported RAUM $6.3B, up 33% from $4.8B (2020-08-04 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- Leslie Scott Wallace (Chief Risk Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2019-09-13, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
- John Paul Hughes (Director) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2019-06-28, absent 2019-09-13)Sep 13, 2019 · Control person left · inference
- Francis Laura Clark (Hr Director) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2019-06-28, absent 2019-09-13)Sep 13, 2019 · Control person left · inference
- James Stuart Davidson (Director, Chief Financial Officer) appeared on Schedule A of Clearbridge Investment Management LimitedSep 13, 2019 · Control person joined · fact
- Paul John Pickard (Director) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2018-09-05, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- Toby Hogbin (Director, Chief Operating Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2018-09-05, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- David Julian Ide (Director, Ceo) appeared on Schedule A of Clearbridge Investment Management LimitedJun 28, 2019 · Control person joined · fact
- John Paul Hughes (Director) appeared on Schedule A of Clearbridge Investment Management LimitedJun 28, 2019 · Control person joined · fact
- Angus Euan Wilson (Director) appeared on Schedule A of Clearbridge Investment Management LimitedJun 28, 2019 · Control person joined · fact
- Mcgregor Ralph Campbell (Director, Chief Finance Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2018-09-05, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- Geddie William Watt (Director, Chief Executive Officer) no longer on Schedule A of Clearbridge Investment Management Limited (listed 2018-09-05, absent 2019-06-28)Jun 28, 2019 · 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
- Firm profile
- linkedin.com/company/martin-curriereportedpublic record, Form ADV, Sep 17, 2026
- Website
- clearbridgeinvestments.co.ukreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 44 131 229 5252reportedpublic 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
- Other 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