CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED
Adviser information for CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED last updated from Form ADV on December 20th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Australia |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 15 | $2.5B |
| Non-Discretionary | 2 | $29.5M |
| Total | 17 | $2.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2 | $466,967 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $734.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $1.6B |
| Pension and profit sharing plans | 2 | $243.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 2 | $29.5M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 2 | $382,039 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 24 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 30.2M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. |
| RAYMOND JAMES FREEDOM UNIFIED MANAGED ACCOUNT PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| RAYMOND JAMES PORTFOLIO SELECT UNIFIED MANAGED ACCOUNT PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
Principal Office
LEVEL 13, 35 CLARENCE STREETSYDNEY
Australia
Monday - Friday, 8.30AM - 5.00PM
Tel: 61 2 9397 7300, Fax: 61 2 9397 7399
Chief Compliance Officer
ANNETTE GOLDEN
HEAD OF LEGAL, RISK & COMPLIANCE
LEVEL 13, 35 CLARENCE STREET
SYDNEY
Australia
Tel:
+61 2 9397 7366
Fax:
+61293977399
A******@**************M
(Full email address available in API data)
Regulatory Contact
SYDNEY ABBA
LEGAL COUNSEL
LEVEL 13, 35 CLARENCE STREET
SYDNEY
Australia
Tel:
+61 2 9397 7314
Fax:
+61 2 9397 7399
S****@**************M
(Full email address available in API data)
Industry Affiliates
| CLEARBRIDGE INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| CLEARBRIDGE INVESTMENTS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| FRANKLIN ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON FUND ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENTS CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLEARBRIDGE INVESTMENTS LIMITED | Foreign Entity | – | COMPANY | 07/2009 | > 75% |
| GOLDEN, ANNETTE, KATHERINE | Individual | – | HEAD OF LEGAL, RISK & COMPLIANCE | 03/2015 | < 5% |
| LEGG MASON INC. | Domestic Entity | CLEARBRIDGE INVESTMENTS LIMITED | SHAREHOLDER | 10/2015 | > 75% |
| LEGG MASON AUSTRALIA HOLDINGS PTY LIMITED | Foreign Entity | RARE INFRASTRUCTURE LIMITED | SHAREHOLDER | 10/2015 | > 75% |
| BUSHBY, MATTHEW, CHRISTOPHER | Individual | – | EXECUTIVE DIRECTOR | 03/2023 | < 5% |
| MURPHY, TERRENCE, JAMES | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2019 | < 5% |
| FRANKLIN RESOURCES, INC. | Domestic Entity | LEGG MASON INC. | SOLE SHAREHOLDER OF LEGG MASON INC. | 07/2020 | > 75% |
| GOLDEN, ANNETTE, KATHERINE | Individual | – | EXECUTIVE DIRECTOR | 03/2023 | < 5% |
| GOLDEN, ANNETTE, KATHERINE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| GOLDEN, ANNETTE, KATHERINE | Individual | – | COMPANY SECRETARY | 03/2015 | < 5% |
| LANGLEY, NICHOLAS, JAMES | Individual | – | DIRECTOR | 06/2006 | < 5% |