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


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.