{ "crd_number": 139012, "slug": "clearbridge-investment-management-limited-edinburgh-139012", "primary_business_name": "CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED", "legal_name": "CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED", "dbas": [], "city": "Edinburgh", "state": null, "country": "United Kingdom", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-01-27", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-09-16", "carried_forward": false, "raum_total": 9892865574.0, "raum_discretionary": 9239915360.0, "raum_non_discretionary": 652950214.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 44, "advisory_employees": 16, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 215907623.0, "count": 38 }, "individuals": { "raum": 1668165781.0, "count": 4987 }, "state_municipal": { "raum": 671668992.0, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": 310204.0, "count": null, "fewer_than_5": true }, "investment_companies": { "raum": 294000207.0, "count": 1 }, "pension_profit_sharing": { "raum": 1499738079.0, "count": 22 }, "other_investment_advisers": { "raum": 652950214.0, "count": 7 }, "high_net_worth_individuals": { "raum": 40773399.0, "count": 7 }, "pooled_investment_vehicles": { "raum": 4744520399.0, "count": 16 }, "corporations_other_businesses": { "raum": 104830676.0, "count": 105 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": true, "disclosure_yes_count": 7, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://clearbridgeinvestments.co.uk", "https://linkedin.com/company/martin-currie" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139012", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "EDINBURGH", "url": "https://advisorcensus.com/firm/clearbridge-investment-management-limited-edinburgh-139012", "display_name": "Clearbridge Investment Management Limited", "summary": "Clearbridge Investment Management Limited is an SEC-registered investment advisory firm in Edinburgh, United Kingdom, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 16, 2026.", "citation": "AdvisorCensus. Clearbridge Investment Management Limited (CRD 139012): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Clearbridge Investment Management Limited compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Clearbridge Investment Management Limited reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Clearbridge Investment Management Limited located?", "a": "Clearbridge Investment Management Limited's principal office is in Edinburgh, United Kingdom, according to its Form ADV." }, { "q": "Is Clearbridge Investment Management Limited registered with the SEC or a state?", "a": "Clearbridge Investment Management Limited is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 139012." }, { "q": "How much does Clearbridge Investment Management Limited manage?", "a": "Clearbridge Investment Management Limited reports $9,892,865,574 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (93% discretionary)." }, { "q": "How have Clearbridge Investment Management Limited's assets and staff changed since 2021?", "a": "In the Form ADV data for Clearbridge Investment Management Limited: Regulatory assets under management: $6,339,354,155 in the October 2021 data and $9,892,865,574 in the October 2026 data, up 56%. Total employees: 91 in October 2021 and 44 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Clearbridge Investment Management Limited serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (4,987); corporations or other businesses not listed above (105); charitable organizations (38)." }, { "q": "Which custodians does Clearbridge Investment Management Limited use?", "a": "Clearbridge Investment Management Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Brown Brothers Harriman & Co, Citibank N.A. Hong Kong Branch, JP Morgan, State Street Bank and Trust Company, The Bank of New York Mellon and The Northern Trust Company as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Clearbridge Investment Management Limited report any disciplinary disclosures?", "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/139012" }, { "q": "What changed in Clearbridge Investment Management Limited's recent Form ADV filings?", "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 6339354155.0, "total_employees": 91, "filing_date": "2021-06-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7827919749.0, "total_employees": 77, "filing_date": "2021-12-13" }, { "period": "2023-10-01", "regulatory_assets_under_management": 8669410915.0, "total_employees": 87, "filing_date": "2023-10-04" }, { "period": "2024-10-01", "regulatory_assets_under_management": 9419032149.0, "total_employees": 81, "filing_date": "2024-04-05" }, { "period": "2025-10-01", "regulatory_assets_under_management": 9609952276.0, "total_employees": 77, "filing_date": "2024-12-13" }, { "period": "2026-10-01", "regulatory_assets_under_management": 9892865574.0, "total_employees": 44, "filing_date": "2026-09-16" } ], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Employees performing advisory functions went from 35 to 16." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Changed its legal name from Martin Currie Investment Management Limited to Clearbridge Investment Management Limited." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Brown Brothers Harriman & Co", "name_as_filed": "BROWN BROTHERS HARRIMAN & CO", "affiliated": false }, { "name": "Citibank N.A. Hong Kong Branch", "name_as_filed": "CITIBANK N.A. HONG KONG BRANCH", "affiliated": false }, { "name": "JP Morgan", "name_as_filed": "JP MORGAN", "affiliated": false }, { "name": "State Street Bank and Trust Company", "name_as_filed": "STATE STREET BANK AND TRUST COMPANY", "affiliated": false }, { "name": "The Bank of New York Mellon", "name_as_filed": "THE BANK OF NEW YORK MELLON", "affiliated": false }, { "name": "The Northern Trust Company", "name_as_filed": "THE NORTHERN TRUST COMPANY", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/clearbridge-investment-management-limited-edinburgh-139012.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 4987, "fewer_than_5": false, "raum": 1668165781.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 7, "fewer_than_5": false, "raum": 40773399.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 294000207.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 16, "fewer_than_5": false, "raum": 4744520399.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 22, "fewer_than_5": false, "raum": 1499738079.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 38, "fewer_than_5": false, "raum": 215907623.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 671668992.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 7, "fewer_than_5": false, "raum": 652950214.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 310204.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 105, "fewer_than_5": false, "raum": 104830676.0 } ], "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139012", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }