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

Legg Mason Asset Management Hong Kong Limited

Former SEC-registered adviser-Central, CRD 147462SEC 801-69492IAPD
Latest filing Jun 28, 2012
First filing on the tape Nov 22, 2011 · 3 filings
RAUM
$734M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$734M as of Jun 28, 2012
Nov 22, 2011$651M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2012
Nov 22, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 28, 2012; 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
$61.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween 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 vehiclesreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
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
12reported
Financial planning clients
n/areported
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
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
      • Lai Sze Chan · Head Of Hong Kong & China Investment & Directorcontrol
        since 07/2006 · owns less than 5%
      • Sau Wai Diana Chan · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • Alvin Joyue Hui · Chief Legal Officercontrol
        since 04/2011 · owns less than 5%
      • Andrew Terrence Johnson · Head Of International Distribution & Directorcontrol
        since 07/2007 · owns less than 5%
      • Patrick Joseph Larocque · Directorcontrol
        since 06/2009 · owns less than 5%
      • Hui Zin Lau · Asian Region Controllercontrol
        since 07/2011 · owns less than 5%
      • Hong Heng Lennie Lim · Head Of Asia Distribution & Directorcontrol
        since 02/2008 · owns less than 5%
      • Michael Robert Shearman · Director, Head Of International Product Managementcontrol
        since 10/2010 · owns less than 5%
      • Freeman Siu For Tsang · Director, Business Developmentcontrol
        since 01/2010 · owns less than 5%
      Entity owners
      • Lm International Holding L.P. · Shareholder
        direct · owns 75% or more
      • Legg Mason Global Holdings Limited · Limited Partner
        indirect · owns 75% or more of Lm International Holding LP
      • Legg Mason International Holdings, LLC · General Partner
        indirect · owns 75% or more of Lm International Holding LP
      • Legg Mason, Inc. · Sole Stockholder
        indirect · owns 75% or more of Legg Mason International Holdings, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Legg Mason Asset Management Hong Kong Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $683M to $734M
        Mar 30, 2012 to Jun 28, 2012
      • RAUM · $683M to $734M
        Mar 30, 2012 to Jun 28, 2012
      • Advisory activities · 1 to 2
        Nov 22, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 22, 2011 to Mar 30, 2012
      • Discretionary RAUM · $651M to $683M
        Nov 22, 2011 to Mar 30, 2012
      • RAUM · $651M to $683M
        Nov 22, 2011 to Mar 30, 2012
      • Related bank · false to true
        Nov 22, 2011 to Mar 30, 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