WESTERN ASSET MANAGEMENT COMPANY
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WESTERN ASSET MANAGEMENT COMPANY
(CRD# 110441)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Pasadena, CA.
The SEC approved the firm to operate as an RIA in
Dec 1971.
In
Sep 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$348.0 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
12%
of RAUM.
Non-US investors represent
9%
.
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WESTERN ASSET MANAGEMENT COMPANY
also reported in
Sep 2018
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637
employees,
with
125
performing advisory functions.
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A total of 3 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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WESTERN ASSET MANAGEMENT COMPANY has one or more disclosure events currently on file with the SEC.
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WESTERN ASSET MANAGEMENT COMPANY has Notice Filings with the following State Securities Authorities: <
AK-Jun 2007, AL-Jun 2007, AR-Jun 2007, AZ-Jun 2007, CA-Mar 1990
, CO-Jun 2007, CT-Jan 1999, DC-Jun 2007, DE-Jun 2003, FL-Jul 2007
, GA-Jun 2006, HI-Jun 2007, IA-Jul 2007, ID-Jun 2006, IL-Jul 2006
, IN-Jun 2007, KS-Jun 2007, KY-Jun 2007, LA-Jun 2007, MA-Jun 2006
, MD-Jun 2007, ME-Jun 2007, MI-Jun 2007, MN-Dec 2000, MO-Jun 2007
, MS-Jun 2007, MT-Jun 2007, NC-Jun 2007, ND-Jun 2007, NE-Jun 2007
, NH-Jun 2007, NJ-Jul 2007, NM-Jun 2007, NV-Jun 2007, NY-Jun 2006
, OH-Jun 2007, OK-Jun 2007, OR-Jun 2007, PA-Jun 2007, PR-Jun 2007
, RI-Jun 2007, SC-Jun 2007, SD-Jul 2007, TN-Jul 2007, TX-Jun 2006
, UT-Jun 2007, VA-Jun 2007, VI-Jun 2007, VT-Jun 2007, WA-Jun 2006
, WI-Jun 2007, WV-Jun 2007
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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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