CIK 1348883
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-01-05). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-01-05. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| DOLGOV, JASNA, BRBLIC | GENERAL COUNSEL | 2023-01 | <5% ·◆ |
| EAKES, BRIAN, MATTHEW | DIRECTOR | 2026-01 | <5% ·◆ |
| GLASSER, SCOTT, KEITH | CHIEF INVESTMENT OFFICER | 2012-10 | <5% ·◆ |
| HALLER, JOHN, RANDOLPH | CHIEF OPERATING OFFICER | 2018-08 | <5% ·◆ |
| JOHNSON, JENNIFER, MORROW | DIRECTOR | 2020-07 | <5% ·◆ |
| MURPHY, BRIAN, R | CHIEF COMPLIANCE OFFICER | 2023-01 | <5% ·◆ |
| MURPHY, TERRENCE, JAMES | PRESIDENT | 2011-03 | <5% ·◆ |
| NICHOLLS, MATTHEW | DIRECTOR | 2020-07 | <5% ·◆ |
| OH, SEOK, SELENE | DIRECTOR | 2025-04 | <5% ·◆ |
| LEGG MASON, INC.entity | SOLE MEMBER | 2022-10 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| PLAFKER, JED, ANDREW | DIRECTOR | 2024-12 | — not seen at a tracked firm |
| SHANEYFELT, GWEN, LOUISE | DIRECTOR | 2024-12 | — not seen at a tracked firm |
| TARALLO, NICOLE, LORRAINE | DIRECTOR | 2024-12 | — not seen at a tracked firm |
| LIST, CYNTHIA, KAREN | DIRECTOR · CHIEF FINANCIAL OFFICER | 2023-12 | — not seen at a tracked firm |
| MANNING, BARBARA, BROOKE | GENERAL COUNSEL | 2022-12 | — not seen at a tracked firm |
| COHEN, HARRY, DAVID | CO-CHIEF INVESTMENT OFFICER · CHIEF INVESTMENT OFFICER | 2020-08 | — not seen at a tracked firm |
| BOYDSTON, LAURA, ANDREA | DIRECTOR | 2020-07 | — not seen at a tracked firm |
| TRUST, JANE, ELIZABETH | DIRECTOR | 2020-07 | — not seen at a tracked firm |
| JOHNSON, TERENCE, MATTHEW | DIRECTOR | 2020-07 | — not seen at a tracked firm |
| KENNEY, JOHN, DUFF | DIRECTOR | 2019-06 | — not seen at a tracked firm |
| EEDE, JOHN, JUSTIN | DIRECTOR | 2019-06 | — not seen at a tracked firm |
| CASHMAN, FRANCES, LANGTON | DIRECTOR | 2019-06 | — not seen at a tracked firm |
| NACHTWEY, PETER, HAMILTON | DIRECTOR | 2014-10 | — not seen at a tracked firm |
| NATTANS, JEFFREY, ALLEN | DIRECTOR | 2014-10 | — not seen at a tracked firm |
| DEWHURST, RONALD, RICHARD | DIRECTOR | 2013-04 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
