Legg Mason International Equities (Hong Kong) Limited (Central)

Name: Legg Mason International Equities (Hong Kong) Limited
Address: Suites 1202 03, 12 Th Floor, York House, Central
Telephone: 852-3652-3000

Legg Mason International Equities (Hong Kong) Limited is a large advisory firm based in Central. It manages $147.43 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2011.

Legg Mason International Equities (Hong Kong) Limited provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Legg Mason International Equities (Hong Kong) Limited: assets under management

The assets under management (AUM) of Legg Mason International Equities (Hong Kong) Limited is $147.43 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -86% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $147.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $49.14 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Legg Mason International Equities (Hong Kong) Limited for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Legg Mason International Equities (Hong Kong) Limited

Joseph Patrick Larocque has been acting as President since 1 Jun 2009. Sau Wai Diana Chan joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Lm International Holding L.P.	Shareholder	1 Jan 2006	75% - 100%	98-0451594
Lai Sze Chan	Director, head of hong kong & china investment	1 Apr 2006	Other	5543400
Joseph Patrick Larocque	Director	1 Jun 2009	Other	4363277
Robert Michael Shearman	Director, head of international product management	1 Sep 2010	Other	5863343
Jim Kandunias	Chief operating officer & chief compliance officer	1 Jul 2011	Other	5172918
Jim Kandunias	Director	1 May 2012	Other	5172918
Jim Kandunias	Chief executive officer	1 Oct 2012	Other	5172918
Jennifer Marie Eising	Chief compliance officer, general counsel	1 Oct 2012	Other	5949245
Winnie Chan	Director	1 Mar 2013	Other	3278824
Shuk Yee Samantha Ho	Director	1 Jun 2013	Other	6218010
Sau Wai Diana Chan	Chief compliance officer	1 Sep 2013	Other	6028976
Lai Sze Chan	Director	1 Sep 2013	Other	5543400

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Legg Mason International Holdings	Sole stockholder	1 Dec 2004	75% - 100%	20-2573431
Inc. Legg Mason	Sole stockholder	1 Mar 2011	75% - 100%	52-1200960
Legg Mason Global Holdings Limited	Limited partner	1 Mar 2011	75% - 100%	foreign

Based in Central

The principal office where Legg Mason International Equities (Hong Kong) Limited performs its advisory services is located at Suites 1202 03, 12 Th Floor, York House, Central, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 852-3652-3000 or by fax 852-3652-3030. The normal business hours are 9am till 6pm on Monday - Friday. You can find more information about the New York firm at www.esemplia.com.