Clearbridge Investments, LLC
Registered investment adviser · New York, NY · CRD #137028
Form ADV data as of 2026-09-01Regulatory assets
$184.81 billion
Total accounts
12,530
Employees
210
Disclosure events
3
Firm details
- Website: https://www.clearbridge.com
- Telephone: 212-805-2000
- SEC file number: 801-64710
- Most recent Form ADV filing: 2026-08-28
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $141.54 billion |
| Non-discretionary regulatory assets under management | $43.27 billion |
| Total regulatory assets under management | $184.81 billion |
| Discretionary accounts | 12,459 |
| Non-discretionary accounts | 71 |
| Total accounts | 12,530 |
| Regulatory assets under management attributable to non-U.S. persons | $11.19 billion |
People
| Total employees (excluding clerical) | 210 |
| Employees performing investment advisory functions (including research) | 71 |
| Employees who are registered representatives of a broker-dealer | 68 |
| Employees registered as investment adviser representatives with a state | 14 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $65.3 million |
| Clients for whom the firm has custody | 4 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $74.6 million |
| Clients for whom a related person has custody | 10 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 90 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 122,494 | $47.40 billion |
| High net worth individuals | 452 | $1.32 billion |
| Banking or thrift institutions | 33 | $313.9 million |
| Investment companies | 44 | $74.57 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 47 | $11.01 billion |
| Pension and profit sharing plans (not the participants or government plans) | 469 | $2.63 billion |
| Charitable organizations | 244 | $1.53 billion |
| State or municipal government entities (including government pension plans) | 17 | $276.3 million |
| Other investment advisers | 68 | $42.80 billion |
| Insurance companies | 3 | $445.4 million |
| Corporations or other businesses not listed above | 659 | $2.50 billion |