Legg Mason Asset Management Hong Kong Limited (Central)


Legg Mason Asset Management Hong Kong Limited is a large advisory firm based in Central. It manages $733.8 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2008.

Legg Mason Asset Management Hong Kong Limited provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. 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 Asset Management Hong Kong Limited: assets under management

The assets under management (AUM) of Legg Mason Asset Management Hong Kong Limited is $733.8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -26% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $733.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $61.15 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Legg Mason Asset Management 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 Asset Management 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
Suk Han Lun Compliance manager 1 Dec 2005 Other 5543408
Lm International Holding L.P. Shareholder 1 Jan 2006 75% - 100% 98-0451594
Jason Christopher Davenant Henchman Head of legal and compliance, asia pacific & director 1 Apr 2006 Other 5389862
Lai Sze Chan Senior investment officer & director 1 Jul 2006 Other 5543400
Thomas John Hirschmann Managing director, international distribution & director 1 Jul 2007 Other 3101608
Terrence Andrew Johnson Managing director, legg mason investments & director 1 Jul 2007 Other 5543404
Jeffrey Allen Nattans Managing director and director 1 Jul 2007 Other 2786221
Hong Heng Lennie Lim Head of asia distribution & director 1 Feb 2008 Other 5405198
Joseph Patrick Larocque International chief administrative officer 1 Dec 2008 Other 4363277
Joseph Patrick Larocque Director 1 Jun 2009 Other 4363277
Lai Sze Chan Head of investments - hong kong & china and director 1 Oct 2009 Other 5543400
Siu For Freeman Tsang Director, business development 1 Jan 2010 Other 5748587
Suk Han Lun Chief compliance officer 1 Jan 2010 Other 5543408
Robert Michael Shearman Director, head of international product management 1 Oct 2010 Other 5863343
Che Lee Ally Kwan Chief compliance officer 1 Jan 2011 Other 5880229
Lin Ee Leong Chief compliance officer 1 Mar 2011 Other 5942575
Alvin Joyue Hui Chief legal officer 1 Apr 2011 Other 6038175
Hui Zin Lau Asian region controller 1 Jul 2011 Other 6039403
Sau Wai Diana Chan Chief compliance officer 1 Jan 2012 Other 6028976

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Legg Mason International Holdings Sole stockholder 1 Dec 2004 75% - 100% 20-2573431
Llc Legg Mason International Holdings Ii Sole stockholder 1 Jan 2005 75% - 100% 20-3785487
Inc. Legg Mason Sole stockholder 1 May 2005 75% - 100% 52-1200960
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 Asset Management Hong Kong Limited performs its advisory services is located at 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 9:00 a.m. to 6:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.leggmason.com.hk.