# Clearbridge Investments (North America) Pty Limited > Clearbridge Investments (North America) Pty Limited is an SEC-registered investment advisory firm in Sydney, Australia, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 28, 2026. - CRD: 151223 - Filed as: CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: Sydney, Australia - Filing period: October 2026 - Form ADV filing dated: August 28, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/151223 - AdvisorCensus page: https://advisorcensus.com/firm/clearbridge-investments-north-america-pty-limited-sydney-151223 ## Quick answers **How is Clearbridge Investments (North America) Pty Limited compensated?** On its Form ADV (Item 5.E, October 2026), Clearbridge Investments (North America) Pty Limited reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure. **Where is Clearbridge Investments (North America) Pty Limited located?** Clearbridge Investments (North America) Pty Limited's principal office is in Sydney, Australia, according to its Form ADV. **Is Clearbridge Investments (North America) Pty Limited registered with the SEC or a state?** Clearbridge Investments (North America) Pty Limited is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 151223. **How much does Clearbridge Investments (North America) Pty Limited manage?** Clearbridge Investments (North America) Pty Limited reports $2,228,148,061 in regulatory assets under management in its Form ADV filing dated August 28, 2026 (98% discretionary). **How have Clearbridge Investments (North America) Pty Limited's assets and staff changed since 2021?** In the Form ADV data for Clearbridge Investments (North America) Pty Limited: Regulatory assets under management: $1,135,105,569 in the October 2021 data and $2,228,148,061 in the October 2026 data, up 96%. Total employees: 0 in October 2021 and 0 in October 2026. Assets under management move with markets as well as with clients coming and going. **What types of clients does Clearbridge Investments (North America) Pty Limited serve?** By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5); corporations or other businesses not listed above (4); individuals (other than high net worth individuals) (3). **Which custodians does Clearbridge Investments (North America) Pty Limited use?** Clearbridge Investments (North America) Pty Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., JP Morgan Chase Bank NA, LPL Financial LLC, Raymond James, Robert W. Baird & Co. Incorporated, State Street Global Markets, LLC and The Northern Trust Company, Canada Branch as custodians holding 10% or more of its separately managed account assets. **Does Clearbridge Investments (North America) Pty Limited report any disciplinary disclosures?** Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/151223 **What changed in Clearbridge Investments (North America) Pty Limited's recent Form ADV filings?** In the September 2026 filing data: Updated its list of owners and control persons (Schedule A). ## From the Form ADV filing ### Compensation (Item 5.E) - A percentage of assets under your management ### Custodians (Schedule D, Section 5.K(3)) - Charles Schwab & Co., Inc. - JP Morgan Chase Bank NA - LPL Financial LLC - Raymond James - Robert W. Baird & Co. Incorporated - State Street Global Markets, LLC - The Northern Trust Company, Canada Branch 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. ### Regulatory assets under management (Item 5.F) - Total: $2,228,148,061 - Discretionary: $2,187,176,690 - Non-discretionary: $40,971,371 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 3 | $677,269 | | High net worth individuals | 0 | $0 | | Banking or thrift institutions | 0 | $0 | | Investment companies | 3 | $347,087,993 | | Business development companies | 0 | $0 | | Pooled investment vehicles (other than investment companies and business development companies) | 5 | $1,497,531,304 | | Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $333,183,423 | | Charitable organizations | 0 | $0 | | State or municipal government entities (including government pension plans) | 0 | $0 | | Other investment advisers | 2 | $40,971,371 | | Insurance companies | 0 | $0 | | Sovereign wealth funds and foreign official institutions | 0 | $0 | | Corporations or other businesses not listed above | 4 | $8,696,701 | | Other | 0 | Not reported | ### Advisory services (Item 5.G) - 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 ### Firm details - Registered since: 2009 (17 years) - Employees: 0 total, 0 performing advisory functions - Wrap fee program participation: Yes - Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11. ### Item 11 questions answered yes - 11.C(2): 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? - 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity? - 11.C(5): 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? Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/151223 ### Websites listed on Form ADV (Item 1.I) - [clearbridgeinvestments.com.au](https://clearbridgeinvestments.com.au) - LinkedIn @clearbridge-investments-au ## Assets and staff over time | Data period | Regulatory assets under management | Employees | Filing dated | | --- | --- | --- | --- | | October 2021 | $1,135,105,569 | 0 | July 26, 2021 | | October 2022 | $1,328,879,399 | 0 | December 9, 2021 | | October 2023 | $1,523,845,398 | 0 | September 14, 2023 | | October 2024 | $2,574,197,732 | 0 | December 20, 2023 | | October 2025 | $2,083,556,789 | 0 | December 20, 2024 | | October 2026 | $2,228,148,061 | 0 | August 28, 2026 | Regulatory assets under management: $1,135,105,569 in the October 2021 data and $2,228,148,061 in the October 2026 data, up 96%. Total employees: 0 in October 2021 and 0 in October 2026. ## Changes in the filing (last 12 months) ### September 2026 - Updated its list of owners and control persons (Schedule A). ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Clearbridge Investments (North America) Pty Limited (CRD 151223): Form ADV filing data as of October 2026.