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CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED

dba CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED · CRD 151223 · Registered Investment Adviser

Regulatory disclosure

CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED is a Registered Investment Adviser. The firm reports $2,228,148,061 in regulatory assets under management across 19 accounts. It reports 3 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$2,187,176,690
Non-discretionary$40,971,371
Total RAUM$2,228,148,061
Accounts19

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 3 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 151223. adviserinfo.sec.gov/firm/summary/151223.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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