CLEARBRIDGE INVESTMENTS, LLC
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CLEARBRIDGE INVESTMENTS, LLC
(CRD# 137028)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Sep 2005.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$130.4 Billion,
with discretion over
86%
of those assets.
Pooled investment vehicles (Private Funds) account for
4%
of RAUM.
Non-US investors represent
4%
.
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CLEARBRIDGE INVESTMENTS, LLC
also reported in
Jan 2019
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186
employees,
with
67
performing advisory functions.
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A total of 5 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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CLEARBRIDGE INVESTMENTS, LLC has one or more disclosure events currently on file with the SEC.
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CLEARBRIDGE INVESTMENTS, LLC has Notice Filings with the following State Securities Authorities:
AK-Nov 2005, AL-Nov 2005, AR-Nov 2005, AZ-Nov 2005, CA-Nov 2005
, CO-Nov 2005, CT-Nov 2005, DC-Nov 2005, DE-Nov 2005, FL-Nov 2005
, GA-Nov 2005, HI-Nov 2005, IA-Nov 2005, ID-Nov 2005, IL-Dec 2005
, IN-Nov 2005, KS-Nov 2005, KY-Nov 2005, LA-Nov 2005, MA-Nov 2005
, MD-Nov 2005, ME-Nov 2005, MI-Nov 2005, MN-Dec 2005, MO-Nov 2005
, MS-Nov 2005, MT-Nov 2005, NC-Nov 2005, ND-Nov 2005, NE-Nov 2005
, NH-Nov 2005, NJ-Nov 2005, NM-Nov 2005, NV-Nov 2005, NY-Nov 2005
, OH-Nov 2005, OK-Nov 2005, OR-Nov 2005, PA-Nov 2005, PR-Jun 2008
, RI-Nov 2005, SC-Nov 2005, SD-Nov 2005, TN-Nov 2005, TX-Nov 2005
, UT-Nov 2005, VA-Nov 2005, VI-Jun 2008, VT-Nov 2005, WA-Nov 2005
, WI-Nov 2005, WV-Nov 2005, WY-Jun 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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