Investment adviser · CRD 110619

CLEARBRIDGE INVESTMENTS

Investment adviser filing (IA)

CLEARBRIDGE, LLC

BALTIMORE, MD, United States · Form ADV filed Sep 6, 2018

Regulatory AUM: $4.86B
Client accounts: 12
Employees: 17
Advisory professionals: 9

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	5	$4,340,410,159	89.3%
Pooled investment vehicles	5	$509,791,229	10.5%
Retirement plans	Fewer than 5	$4,980,191	0.1%
High-net-worth individuals	Fewer than 5	$2,584,564	0.1%
Individuals	Fewer than 5	$0	0.0%
Banks & thrifts	Fewer than 5	$0	0.0%
Charities	Fewer than 5	$0	0.0%
Government entities	Fewer than 5	$0	0.0%
Other investment advisers	Fewer than 5	$0	0.0%
Insurance companies	Fewer than 5	$0	0.0%
Sovereign wealth & foreign institutions	Fewer than 5	$0	0.0%
Corporations & businesses	Fewer than 5	$0	0.0%

Filing source

Form ADV 1239347 · Sep 6, 2018 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

5 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

LMCM INCOME OPPORTUNITIES FUND, LLCOther Private Fund · Last reported Jan 24, 2013$28.8MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-8656778632
Reported beneficial owners: 13
Minimum commitment: $5K

Form ADV 694907 · Jan 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LMCM SMALL CAP FUND, LLCOther Private Fund · Last reported Jan 24, 2013$1.88MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-7861337234
Reported beneficial owners: 15
Minimum commitment: $5K

Form ADV 694907 · Jan 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LMCM SYSTEMATIC VALUE FUND, LLCOther Private Fund · Last reported Jan 24, 2013$1.8MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-5001344054
Reported beneficial owners: 18
Minimum commitment: $5K

Form ADV 694907 · Jan 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LMCM GLOBAL TECHNOLOGY FUND, LLCOther Private Fund · Last reported Jan 24, 2013$1.34MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-1644425925
Reported beneficial owners: 9
Minimum commitment: $5K

Form ADV 694907 · Jan 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LMCM GLOBAL HEALTH CARE FUND, LLCOther Private Fund · Last reported Jan 24, 2013$1.17MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-9130473426
Reported beneficial owners: 9
Minimum commitment: $5K

Form ADV 694907 · Jan 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Sep 6, 2018. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets

Principal office

100 INTERNATIONAL DRIVE
BALTIMORE, MD, 21202, United States

CRD 110619

Filing source

Form ADV 1239347 · Sep 6, 2018 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.