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

Western Asset Management Company Distribuidora De Titulos E Valo

Former SEC-registered adviserSao Paulo, CRD 153986SEC 801-71657IAPD
Latest filing Aug 7, 2020
First filing on the tape Dec 21, 2011 · 15 filings
RAUM
$11B
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
65
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$11B as of Mar 24, 2020
Apr 2, 2012$18B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Apr 2, 20120 then
Employees (5.A)65 as of Mar 24, 2020
Mar 27, 201369 then
Private funds: no history
RAUM +6.2% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 7, 2020; 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
$70.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
20%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
+6.2%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 vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.8B43%
  • Corporations and businesses$4.2B38%
  • Insurance companies$2.0B18%
  • State and municipal entities$154M1.4%
  • Charitable organizations$23.1M0.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
158reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • Luciana Amorim Da Silva Haddad · Directorcontrol
        since 08/2015 · owns less than 5%
      • Eduardo Paulo Clini · Directorcontrol
        since 12/2008 · owns less than 5%
      • Marc Forster · Executive Director And Directorcontrol
        since 08/2015 · owns less than 5%
      • Cleiton Ferreira Anderson Neubern · Chief Operations Officercontrol
        since 09/2010 · owns less than 5%
      • Barbosa Luciana Silveira · Director And Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      Entity owners
      • Western Asset Management (Brasil) Holdings Limitada · Shareholder
        direct · 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 Limited · Shareholder
        indirect · owns 50% to 75% of Lm International Holdings LP
      • Legg Mason International Holdings LLC · Shareholder
        indirect · owns 50% to 75% of Lm International Holdings LP
      • Legg Mason, Inc. · Shareholder
        indirect · owns 75% or more of Legg Mason Global Holdings Limited
      • Lm Holdings 2 Limited · Shareholder
        indirect · owns 75% or more of Western Asset Management (Brazil) Holdings Limitada
      • Lm International Holdings LP · Shareholder
        indirect · owns 75% or more of Lm Holdings 2 Limited
      Related persons
      Schedule D 7.A
      Advisers that list Western Asset Management Company Distribuidora De Titulos E Valo as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 151 to 158
        Mar 20, 2019 to Mar 24, 2020
      • Charity clients · unset to 1.0
        Mar 20, 2019 to Mar 24, 2020
      • Corporate clients · 2 to 48
        Mar 20, 2019 to Mar 24, 2020
      • Pension plan clients · 27.0 to unset
        Mar 20, 2019 to Mar 24, 2020
      • Pooled vehicle clients · 26 to 2
        Mar 20, 2019 to Mar 24, 2020
      • Employees · 66 to 65
        Mar 20, 2019 to Mar 24, 2020
      • Discretionary RAUM · $11B to $11B
        Mar 20, 2019 to Mar 24, 2020
      • Pension RAUM · 3423797269.0 to unset
        Mar 20, 2019 to Mar 24, 2020
      • Pooled vehicle RAUM · $6.6B to $4.8B
        Mar 20, 2019 to Mar 24, 2020
      • RAUM · $11B to $11B
        Mar 20, 2019 to Mar 24, 2020
      • Accounts · 156 to 151
        Mar 22, 2018 to Mar 20, 2019
      • Corporate clients · 1 to 2
        Mar 22, 2018 to Mar 20, 2019
      • Pension plan clients · 18 to 27
        Mar 22, 2018 to Mar 20, 2019
      • Pooled vehicle clients · 36 to 26
        Mar 22, 2018 to Mar 20, 2019
      • Discretionary RAUM · $13B to $11B
        Mar 22, 2018 to Mar 20, 2019
      • Pension RAUM · $4.3B to $3.4B
        Mar 22, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $7.8B to $6.6B
        Mar 22, 2018 to Mar 20, 2019
      • RAUM · $13B to $11B
        Mar 22, 2018 to Mar 20, 2019
      • Accounts · 101 to 156
        Mar 31, 2017 to Mar 22, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 18.0
        Mar 31, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 36.0
        Mar 31, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 22, 2018
      • Discretionary RAUM · $12B to $13B
        Mar 31, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 4314102534.0
        Mar 31, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 7834058006.0
        Mar 31, 2017 to Mar 22, 2018
      • RAUM · $12B to $13B
        Mar 31, 2017 to Mar 22, 2018
      • Accounts · 165 to 101
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 67 to 66
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $9.3B to $12B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $9.3B to $12B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 170 to 165
        Oct 6, 2015 to Mar 30, 2016
      • Advisory employees · 19 to 18
        Oct 6, 2015 to Mar 30, 2016
      • Discretionary RAUM · $13B to $9.3B
        Oct 6, 2015 to Mar 30, 2016
      • RAUM · $13B to $9.3B
        Oct 6, 2015 to Mar 30, 2016
      • Accounts · 172 to 170
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 69 to 67
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $14B to $13B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $14B to $13B
        Mar 31, 2014 to Mar 31, 2015
      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