WESTLB ASSET MANAGEMENT (US) LLC

CRD #109256 SEC #801-56618 HOUSTON, TX 713-963-5200

SEC Registered

Total AUM

$26.4B

Discretionary

$24.8B

Employees

Clients

Accounts

721

Firm Details

Organization Type: Limited Liability Company
State of Formation: --
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Oct 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
ALFINO, GERALDINE	I	CHIEF OPERATING OFFICER	NA	Control
ALFINO, GERALDINE	I	CHIEF OPERATING OFFICER	NA	Control
BARRANTES, BARBARA, T.	I	EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER	NA	Control
BARRANTES, BARBARA, T.	I	EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER	NA	Control
BARRANTES, BARBARA, T.	I	EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER	NA	Control
BARRANTES, BARBARA, T.	I	EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER	NA	Control
CADOGAN, MARGARET, MARY	I	CHIEF COMPLIANCE OFFICER	NA	Control
CADOGAN, MARGARET, MARY	I	CHIEF COMPLIANCE OFFICER	NA	Control
CADOGAN, MARGARET, MARY	I	CHIEF COMPLIANCE OFFICER	NA	Control
CAUDELL, GREGORY, K	I	DIRECTOR, HEAD OF NORTH AMERICA OPERATIONS/NON-OWNER	NA	Control
CAUDELL, GREGORY, K	I	HEAD OF NORTH AMERICA OPERATIONS	NA	Control
CHAPMAN, SUZANNE, ELIZABETH	I	CIO, SHORT DURATION/NON-OWNER	NA
CHAPMAN, SUZANNE, ELIZABETH	I	CIO, SHORT DURATION	NA
CHAPMAN, SUZANNE, ELIZABETH	I	CIO, SHORT DURATION/NON-OWNER	NA
COLGAN, BRIAN, CHRISTOPHER	I	EXECUTIVE DIRECTOR	NA	Control
COLGAN, BRIAN, CHRISTOPHER	I	EXECUTIVE DIRECTOR	NA	Control
COLGAN, BRIAN, CHRISTOPHER	I	MANAGING DIRECTOR	NA	Control
COLGAN, BRIAN, CHRISTOPHER	I	MANAGING DIRECTOR	NA	Control
COLGAN, BRIAN, CHRISTOPHER	I	MANAGING DIRECTOR	NA	Control
COLVERD, NEIL	I	PRESIDENT, CHIEF EXECUTIVE OFFICER AND BOARD MEMBER	NA	Control
COLVERD, NEIL	I	GENERAL MGR WESTLB LONDON BRANCH, GLOBAL HEAD OF INV MGMT-PEG, DIRECTOR AND CO-CHAIRMAN BD OF DIRECTORS	NA	Control
COLVERD, NEIL	I	VICE CHAIRMAN, HEAD OF BU INVESTMENT MANAGEMENT	NA	Control
COLVERD, NEIL	I	CO-GENERAL MGR WESTLB LONDON BRANCH, DIRECTOR AND CO-CHAIRMAN BD OF DIRECTORS	NA	Control
DODO, MOSES	I	MANAGING DIRECTOR WESTLB	NA	Control
DODO, MOSES	I	GENERAL MANAGER, WESTLB NY BRANCH AND BOARD MEMBER	NA	Control
DODO, MOSES	I	GENERAL MANAGER, WESTLB NY BRANCH AND BOARD MEMBER	NA	Control
EGLER, GERALDINE, ALFINO	I	CHIEF OPERATING OFFICER	NA	Control
EGLER, GERALDINE, ALFINO	I	CHIEF OPERATING OFFICER	NA	Control
FRANK, MICHAEL, THOMAS	I	MANAGING DIRECTOR, WESTLB AND BOARD MEMBER	NA	Control
FRANK, MICHAEL, THOMAS	I	LOCAL COO AND CFO AMERICAS WESTLB, BOARD MEMBER	NA	Control
FRANK, MICHAEL, THOMAS	I	MANAGING DIRECTOR, WESTLB AND BOARD MEMBER	NA	Control
FRANK, MICHAEL, THOMAS	I	CO-GENERAL MANAGER WESTLB NY BRANCH, BOARD MEMBER	NA	Control
GALOWSKI, JAMES, EDWARD	I	MANAGING DIRECTOR, HEAD OF STRUCTURED PRODUCTS DIVISION/NON-OWNER	NA	Control
GOESMANN, KLAUS	I	MANAGING DIRECTOR WESTLB	NA	Control
HARRINGTON, DAVID, F	I	MANAGING DIRECTOR	NA	Control
HARRINGTON, DAVID, F	I	MANAGING DIRECTOR	NA	Control
HARRINGTON, DAVID, F	I	MANAGING DIRECTOR	NA	Control
HARRINGTON, DAVID, F	I	MANAGING DIRECTOR	NA	Control
HARRINGTON, DAVID, F	I	MANAGING DIRECTOR	NA	Control
KARDORF, SONJA	I	EXECUTIVE DIRECTOR, WESTLB AND BOARD MEMBER	NA	Control
KARDORF, SONJA	I	REGIONAL CHIEF RISK OFFICER AND HEAD OF STRUCTURED FINANCE AMERICAS WESTLB, BOARD MEMBER	NA	Control
KARDORF, SONJA	I	EXECUTIVE DIRECTOR, WESTLB AND BOARD MEMBER	NA	Control
KARDORF, SONJA	I	CHIEF RISK OFFICER WESTLB NY BRANCH, BOARD MEMBER	NA	Control
KELLERMAN, JAMES, EDWARD	I	CIO, BROAD MARKET/NON-OWNER	NA
KELLERMAN, JAMES, EDWARD	I	CIO, BROAD MARKET	NA
KELLERMAN, JAMES, EDWARD	I	CIO, BROAD MARKET/NON-OWNER	NA
LIGHT, GRAHAM, COURTNEY GEORGE	I	MANAGING DIRECTOR, HEAD INVESTMENT MANAGEMENT	NA	Control
LIGHT, GRAHAM, COURTNEY GEORGE	I	MANAGING DIRECTOR, HEAD INVESTMENT MANAGEMENT	NA	Control
LIGHT, GRAHAM, COURTNEY GEORGE	I	MANAGING DIRECTOR, HEAD INVESTMENT MANAGEMENT WESTLB	NA	Control
LIGHT, GRAHAM, COURTNEY GEORGE	I	VICE CHAIRMAN, HEAD GLOBAL INVESTMENT MANAGEMENT WESTLB AND BOARD MEMBER	NA	Control
MCCAFFERY, THOMAS, DALTON	I	MANAGING DIRECTOR WESTLB	NA	Control
MCCAFFERY, THOMAS, DALTON	I	VICE CHAIRMAN, HEAD OF GLOBAL ORIGINATION WESTLB AND BOARD MEMBER	NA	Control
MCCAFFERY, THOMAS, DALTON	I	MANAGING DIRECTOR, GENERAL MANAGER WESTLB NY BRANCH , DIRECTOR AND CO-CHAIRMAN BD OF DIRECTORS	NA	Control
MCCAFFERY, THOMAS, DALTON	I	VICE CHAIRMAN, HEAD OF GLOBAL ORIGINATION WESTLB AND BOARD MEMBER	NA	Control
MCCAFFERY, THOMAS, DALTON	I	HEAD OF GLOBAL ORIGINATION WESTLB, CO-GENERAL MGR WESTLB NY BRANCH, DIRECTOR AND CO-CHAIRMAN BD OF DIRECTORS	NA	Control
MEHWALD, ULF-ERIK	I	CHIEF FINANCIAL OFFICER	NA	Control
MEHWALD, ULF-ERIK	I	CHIEF FINANCIAL OFFICER	NA	Control
NUNNELEY, LUKE, JAMES CHARLES	I	MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER	NA	Control
NUNNELEY, LUKE, JAMES CHARLES	I	MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER	NA	Control
NUNNELEY, LUKE, JAMES CHARLES	I	MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER	NA	Control
OTIS, JOHN, GLENNON	I	EXECUTIVE DIRECTOR	NA	Control
OTIS, JOHN, GLENNON	I	EXECUTIVE DIRECTOR	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES/NON-OWNER	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES/NON-OWNER	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES	NA	Control
PIPKIN, JOHN, RAYMOND	I	EXECUTIVE DIRECTOR, CLIENT SERVICES/NON-OWNER	NA	Control
PORTES, SUSAN, LIFSEY	I	MANAGING DIRECTOR,CHIEF COMPLIANCE OFFICER/NON-OWNER	NA	Control
PORTES, SUSAN, LIFSEY	I	MANAGING DIRECTOR,CHIEF COMPLIANCE OFFICER/NON-OWNER	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	MANAGING DIRECTOR,HEAD OF COMPLIANCE/NON-OWNER	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	HEAD OF COMPLIANCE	NA	Control
PORTES, SUSAN, LIFSEY	I	MANAGING DIRECTOR,CHIEF COMPLIANCE OFFICER/NON-OWNER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
ROBERTSON, FREDERICK, SAUNDERS	I	PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
STEIN, ROBERT, MICHAEL	I	MANAGING DIRECTOR, WESTLB AND BOARD MEMBER	NA	Control
SUSPANIC, GEORGE, M	I	MANAGING DIRECTOR	NA	Control
SUSPANIC, GEORGE, M	I	CHIEF INVESTMENT OFFICER	NA	Control
SUSPANIC, GEORGE, M	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
SUSPANIC, GEORGE, M	I	CHIEF INVESTMENT OFFICER	NA	Control
SUSPANIC, GEORGE, M	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
SZIRMAI, STEPHAN, LADISLAUS	I	HEAD OF NORTH AMERICA OPERATIONS	NA	Control
SZIRMAI, STEPHAN, LADISLAUS	I	HEAD OF NORTH AMERICA OPERATIONS	NA	Control
SZIRMAI, STEPHAN, LADISLAUS	I	HEAD OF NORTH AMERICA OPERATIONS	NA	Control
SZIRMAI, STEPHAN, LADISLAUS	I	HEAD OF NORTH AMERICA OPERATIONS	NA	Control
VORBACH, MARK, ADRIAN	I	MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER	NA	Control
DUSSKAPITAL VIERZEHN BETEILIGUNGSGESELLSCHAFT MBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTAM HOLDING GMBH	FE	MEMBER	E	Control
WESTLB AG	FE	PARENT AND MANAGING MEMBER	E	Control
WESTLB AG	FE	PARENT AND MANAGING MEMBER	E	Control
WESTLB AG	FE	PARENT AND MANAGING MEMBER	E	Control
WESTLB AG	FE	PARENT AND MANAGING MEMBER	E	Control
WESTLB AG	FE	PARENT AND MANAGING MEMBER	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	DUSSKAPITAL VIERZEHN BETEILIGUNGSGESELLSCHAFT MBH	E	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	WESTAM HOLDING GMBH	E	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	WESTAM HOLDING GMBH	E	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	DUSSKAPITAL VIERZEHN BETEILIGUNGSGESELLSCHAFT MBH	E	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	WESTAM HOLDING GMBH	E	Control
WESTDEUTSCHE LANDESBANK GIROZENTRALE	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control
WESTLB AG	FE	WESTAM HOLDING GMBH	E	Control

Registrations

Federal

Oct 11, 2005 REGISTERED

Notice Filings (4)

DE IL NY TX

Address

5555 SAN FELIPE, 20TH FLOOR
HOUSTON, TX 77056
USA

Phone: 713-963-5200