SMITH BARNEY FUND MANAGEMENT LLC
CRD #106323 SEC #801-8314 NEW YORK, NY 212-559-0900
SEC Registered
Total AUM
$113B
Discretionary
$113B
Employees
251
Clients
--
Accounts
150
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 11, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ARNOLD, WILLIAM, ALFRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ARNOLD, WILLIAM, ALFRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BAIN, PETER, LANNING | I | DIRECTOR | NA | Control |
| BAIN, PETER, LANNING | I | DIRECTOR | NA | Control |
| BEAGLEY, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BEAGLEY, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BEAGLEY, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BEAGLEY, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BEAGLEY, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| COHEN, HARRY, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CUMMING, VIRGIL, H. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CUMMING, VIRGIL, H. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CUMMING, VIRGIL, H. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CUMMING, VIRGIL, H. | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DAIDONE, LEWIS, EUGENE | I | DIRECTOR AND SENIOR VICE PRESIDENT | NA | Control |
| DAIDONE, LEWIS, EUGENE | I | DIRECTOR AND SENIOR VICE PRESIDENT | NA | Control |
| DAIDONE, LEWIS, EUGENE | I | DIRECTOR AND SENIOR VICE PRESIDENT | NA | Control |
| DAIDONE, LEWIS, EUGENE | I | DIRECTOR AND SENIOR VICE PRESIDENT | NA | Control |
| DALEY, CHARLES, JAMES | I | DIRECTOR | NA | Control |
| DALEY, CHARLES, JAMES | I | DIRECTOR | NA | Control |
| DAY, MICHAEL, JOSEPH | I | TREASURER | NA | Control |
| DAY, MICHAEL, JOSEPH | I | TREASURER | NA | Control |
| DAY, MICHAEL, JOSEPH | I | TREASURER | NA | Control |
| DAY, MICHAEL, JOSEPH | I | TREASURER | NA | Control |
| FETTING, MARK, RAYMOND | I | DIRECTOR | NA | Control |
| FETTING, MARK, RAYMOND | I | DIRECTOR | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GERKEN, ROBERT, JAY | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JEANNE, MARIE | I | DIRECTOR | NA | Control |
| KELLY, JEANNE, MARIE | I | DIRECTOR | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANDIA, THOMAS, CHRISTOPHER | I | SECRETARY | NA | Control |
| MANNING, BARBARA, BROOKE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MANNING, BARBARA, BROOKE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MANNING, BARBARA, BROOKE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCLENDON, HEATH, BRIAN | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCLENDON, HEATH, BRIAN | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCLENDON, HEATH, BRIAN | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCLENDON, HEATH, BRIAN | I | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MURPHY, TERRENCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SAKS, ARTHUR, GEORGE | I | DIRECTOR | NA | Control |
| SAKS, ARTHUR, GEORGE | I | DIRECTOR | NA | Control |
| SAKS, ARTHUR, GEORGE | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | SENIOR VICE PRESIDENT | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | SENIOR VICE PRESIDENT | NA | Control |
| SHEPLER, ROBERT, BLAIR | I | DIRECTOR | NA | Control |
| SYDOR, CHRISTINA, THEODOZIA | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SYDOR, CHRISTINA, THEODOZIA | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SYDOR, CHRISTINA, THEODOZIA | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SYDOR, CHRISTINA, THEODOZIA | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| WALLACE, ROBERT, P | I | DIRECTOR | NA | Control |
| WALLACE, ROBERT, PETER | I | DIRECTOR | NA | Control |
| WALLACE, ROBERT, PETER | I | DIRECTOR | NA | Control |
| WALLACE, ROBERT, PETER | I | DIRECTOR | NA | Control |
| WALLACE, ROBERT, PETER | I | DIRECTOR | NA | Control |
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| SALOMON SMITH BARNEY HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| SALOMON SMITH BARNEY HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| SALOMON SMITH BARNEY HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
| SALOMON SMITH BARNEY HOLDINGS INC. | DE | SOLE MEMBER OF APPLICANT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CITIGROUP INC. | DE | CITIGROUP GLOBAL MARKETS HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | SALOMON SMITH BARNEY HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | SALOMON SMITH BARNEY HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | SALOMON SMITH BARNEY HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | CITIGROUP GLOBAL MARKETS HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | CITIGROUP GLOBAL MARKETS HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | SALOMON SMITH BARNEY HOLDINGS INC. | E | Control |
| CITIGROUP INC. | DE | CITIGROUP GLOBAL MARKETS HOLDINGS INC. | E | Control |
Registrations
Federal
IA
Nov 11, 2005 REGISTERED
Notice Filings (1)
PR
Address
399 PARK AVENUE4TH FLOOR
NEW YORK, NY 10022
USA
Phone: 212-559-0900