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

Qs Legg Mason Global Asset Allocation, LLC

Former SEC-registered adviserNew York, New YorkCRD 142333SEC 801-67287IAPD
Latest filing Dec 16, 2015
First filing on the tape Mar 28, 2012 · 16 filings
RAUM
$8.9B
reported, Item 5.F
Discretionary
59%
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
57
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$8.9B as of Jun 29, 2015
Jun 27, 2012$5.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2015
Jun 27, 20120 then
Employees (5.A)57 as of Jun 29, 2015
Jun 24, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 16, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$287MderivedRAUM over accounts (5.F.2.f)
Discretionary
59%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
Custody
$3.7B, 15 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.7B for 15 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Carol Janet Campagna · Director And Chief Executive Officercontrol
        since 05/2014 · owns less than 5%
      • Duff John Kenney · Directorcontrol
        since 05/2014 · owns less than 5%
      • Clifton Thomas Merchant · Directorcontrol
        since 06/2015 · owns less than 5%
      • Allen Jeffrey Nattans · Directorcontrol
        since 05/2014 · owns less than 5%
      • Hayden James Norman · Director And Presidentcontrol
        since 05/2014 · owns less than 5%
      • Gordon Thomas Rose · Chief Financial Officer And Treasurercontrol
        since 05/2014 · owns less than 5%
      • Yu Ming Robert Wang · Chief Operating Officer And Head Of Portfolio Management Implementationcontrol
        since 01/2015 · owns less than 5%
      • Ann Vanessa Williams · Chief Compliance Officer And Secretarycontrol
        since 12/2015 · 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 Qs Legg Mason Global Asset Allocation, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Accounts · 63 to 31
        Feb 4, 2015 to Jun 29, 2015
      • Advisory employees · 15 to 14
        Feb 4, 2015 to Jun 29, 2015
      • Assets in custody · $3.4B to $3.7B
        Feb 4, 2015 to Jun 29, 2015
      • Employees · 117 to 57
        Feb 4, 2015 to Jun 29, 2015
      • Discretionary RAUM · $4.3B to $5.2B
        Feb 4, 2015 to Jun 29, 2015
      • Non-discretionary RAUM · $3.4B to $3.7B
        Feb 4, 2015 to Jun 29, 2015
      • RAUM · $7.8B to $8.9B
        Feb 4, 2015 to Jun 29, 2015
      • Business name · LEGG MASON GLOBAL ASSET ALLOCATION, LLC to QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC
        Jun 30, 2014 to Jul 9, 2014
      • Legal name · LEGG MASON GLOBAL ASSET ALLOCATION, LLC to QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC
        Jun 30, 2014 to Jul 9, 2014
      • Advisory employees · 5 to 15
        Jan 23, 2014 to Jun 6, 2014
      • BD registered reps · 7 to 0
        Jan 23, 2014 to Jun 6, 2014
      • Assets in custody · $3.1B to $3.4B
        Jan 23, 2014 to Jun 6, 2014
      • Employees · 11 to 117
        Jan 23, 2014 to Jun 6, 2014
      • State-registered IARs · 1 to 0
        Jan 23, 2014 to Jun 6, 2014
      • Discretionary RAUM · $2.8B to $4.3B
        Jan 23, 2014 to Jun 6, 2014
      • Non-discretionary RAUM · $3.1B to $3.4B
        Jan 23, 2014 to Jun 6, 2014
      • RAUM · $5.9B to $7.8B
        Jan 23, 2014 to Jun 6, 2014
      • Accounts · 53 to 63
        Jan 22, 2013 to Jun 24, 2013
      • Advisory employees · 4 to 5
        Jan 22, 2013 to Jun 24, 2013
      • BD registered reps · 6 to 7
        Jan 22, 2013 to Jun 24, 2013
      • Assets in custody · $2.8B to $3.1B
        Jan 22, 2013 to Jun 24, 2013
      • Employees · 8 to 11
        Jan 22, 2013 to Jun 24, 2013
      • Financial planning clients · 0 to unset
        Jan 22, 2013 to Jun 24, 2013
      • Discretionary RAUM · $2.4B to $2.8B
        Jan 22, 2013 to Jun 24, 2013
      • Non-discretionary RAUM · $2.8B to $3.1B
        Jan 22, 2013 to Jun 24, 2013
      • RAUM · $5.2B to $5.9B
        Jan 22, 2013 to Jun 24, 2013
      • Advisory employees · unset to 4.0
        Oct 26, 2012 to Jan 22, 2013
      • BD registered reps · unset to 6.0
        Oct 26, 2012 to Jan 22, 2013
      • Employees · unset to 8.0
        Oct 26, 2012 to Jan 22, 2013
      • State-registered IARs · 0 to 1
        Oct 26, 2012 to Jan 22, 2013
      • Accounts · 55 to 53
        Mar 28, 2012 to Jun 27, 2012
      • Assets in custody · $2.6B to $2.8B
        Mar 28, 2012 to Jun 27, 2012
      • Discretionary RAUM · $2.2B to $2.4B
        Mar 28, 2012 to Jun 27, 2012
      • Non-discretionary RAUM · $2.6B to $2.8B
        Mar 28, 2012 to Jun 27, 2012
      • RAUM · $4.8B to $5.2B
        Mar 28, 2012 to Jun 27, 2012
      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