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THE DCIOs

NAPA FIRM PARTNERS

LEGG MASON GLOBAL ASSET MANAGEMENT 100 FIRST STAMFORD PLACE • STAMFORD, CT 06902 • leggmason.com KEY CONTACTS:

Gary Kleinschmidt • 215. 2.1 1 • gkleinschmidt leggmason.com rsula enry • 20 . 0 . 5 • uhenry leggmason.com

FIRM PROFILE

Legg Mason is a leading global investment company committed to helping clients reach their financial goals through long term, actively managed investment strategies. • •

broad array o equities, fi ed income, alternatives and cash strategies diverse amily o speciali ed investment managers, each ith its o n independent approach to research and analysis • Over a century o e perience in identi ying opportunities and delivering astute investment solutions to clients

ASSETS MANAGED

PRIMARY MARKET(S) SERVED

TOTAL AUM so 0 1 .......................................................... $744,600,000,000

• Micro [< $1 million] • Small $1 $10 million • Mid $10 $100 million • Large $100 $250 million • Mega $250 million

TOTAL DCIO ASSETS so 0 1 ............................................................$25,800,000,000

ASSET ALLOCATION FUNDS

• Target Date und eries egg Mason Total dvantage • ub dvise the ClearTrack Target Date eries or Transamerica • Target isk sset llocation unds

DCIO ASSETS BREAKDOWN

Collective Trusts: ........... 11% Money Market: .....0.0004% Mutual Funds: .................71% Separate Accounts: ........18%

TOP 5 FUNDS BY DC ASSETS s o 01 1. Western Asset Core Plus Bond Total ssets ................................................................$5, ,000,000 ast Year e und lo ....................................... $1, 0,000,000 2. ClearBridge Large Cap Growth Total ssets ............................................................... $ , 41,000,000 ast Year e und lo ....................................... $2,04 ,000,000 3. Western Asset Core Bond Total ssets .............................................................. $2, 4,000,000 ast Year e und lo .......................................... $ 5,000,000 4. ClearBridge Small Cap Growth Total ssets ...............................................................$1, 21,000,000 ast Year e und lo ...........................................$2 ,000,000 5. ClearBridge Aggressive Growth Total ssets ............................................................... $1, 2 ,000,000 ast Year e und lo ...........................................$241,000,000

ADVISOR SUPPORT SERVICES

• ternal Wholesalers ocused on dvisors • ternal Wholesalers ocused on Institutional • Plan Benchmarking • Target Date valuation Tools • Training or DC lan ales ervice • Investment Committee Meetings

NO. OF EXTERNAL WHOLESALERS

DC: 8 Retail: 77

14 NAPA BLACK BOOK

BB_WIN18_06-43_DCIOs.indd 14

2018

11/27/18 9:22 AM

Profile for American Retirement Association

2018 NAPA Black Book  

The retirement plan advisor’s definitive resource guide.

2018 NAPA Black Book  

The retirement plan advisor’s definitive resource guide.