SEPULVEDA MANAGEMENT LLC
Adviser information for SEPULVEDA MANAGEMENT LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $327.2M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $327.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $327.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 33 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-108097 |
|---|---|
| SEC ERA File Number | 801-108097 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284290 |
| Legal Entity Identifier | None |
Principal Office
515 SOUTH FLOWER STREETLOS ANGELES
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 213-244-0000, Fax: 213-244-0481
Chief Compliance Officer
GLADYS XIQUES
GLOBAL CHIEF COMPLIANCE OFFICER
515 SOUTH FLOWER STREET
LOS ANGELES
CA
United States
Tel:
213-244-0994
Fax:
213-244-0481
G************@******M
(Full email address available in API data)
Regulatory Contact
TOM BECK
SENIOR VICE PRESIDENT
515 SOUTH FLOWER STREET
LOS ANGELES
CA
United States
Tel:
213-244-0992
T*******@******M
(Full email address available in API data)
Industry Affiliates
| BF IV ADVISORS, LP | Sponsor, GP, manager of pooled investment vehicles |
| BF V ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BF VI ADVISORS, LP | Sponsor, GP, manager of pooled investment vehicles |
| BUCHANAN INVESTMENT ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BUCHANAN STREET PARTNERS, L.P. | Other investment adviser, including financial plannersReal estate broker or dealerSponsor, GP, manager of pooled investment vehicles |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NB REAL PROPERTY, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| P.T. BAHANA TCW INVESTMENT MANAGEMENT | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SEPULVEDA GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW ASIA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TCW ASSET MANAGEMENT COMPANY INTERNATIONAL LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| TCW ASSET MANAGEMENT COMPANY LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| TCW AUSTRALIA PTY LTD | Other investment adviser, including financial planners |
| TCW DLPF8 GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW EUROPE LIMITED | Other investment adviser, including financial planners |
| TCW FUNDS DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TCW INVESTMENT MANAGEMENT COMPANY LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TCW ITALY SIM S.P.A. | Other investment adviser, including financial planners |
| TCW JAPAN, LTD. | Other investment adviser, including financial planners |
| TCW LAMA GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW MARKET NEUTRAL GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW MOF III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW PRIVATE FUNDS MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW RESCUE FINANCING GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW RESCUE FINANCING II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW SINGAPORE ASSET MANAGEMENT PTE. LTD. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TCW SEPULVEDA FOCUSED VALUE FUND, LP | Hedge Fund | $29.2M | $0.5M | 39 |
| TCW SEPULVEDA LONG/SHORT EQUITY FUND I LP | Hedge Fund | $109.6M | $0.5M | 80 |
| TCW SEPULVEDA LONG/SHORT EQUITY MASTER FUND, LTD. | Hedge Fund | $188.4M | $0.5M | 31 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLIPPER ACQUISITIONS CORP. | Domestic Entity | THE TCW GROUP, INC. | SHAREHOLDER | 02/2013 | > 75% |
| CLIPPER INTERMEDIATE CORP. | Domestic Entity | CLIPPER ACQUISITIONS CORP. | SHAREHOLDER | 07/2012 | > 75% |
| CLIPPER HOLDING, L.P. | Domestic Entity | CLIPPER INTERMEDIATE CORP. | SHAREHOLDER | 07/2012 | > 75% |
| CLIPPER GP, L.L.C. | Domestic Entity | CLIPPER HOLDING, L.P. | GENERAL PARTNER | 07/2012 | |
| WEDBUSH CAPITAL | Domestic Entity | WAM CAPITAL, LLC | MEMBER | 12/2015 | > 75% |
| ZHU, JEREMY, QINLI | Individual | – | MANAGING DIRECTOR | 06/2016 | 25-50% |
| STAUNTON, VINCENT, MICHAEL | Individual | – | SENIOR VICE PRESIDENT | 06/2016 | 10-25% |
| WANG, DAVID, CHIH-WEN | Individual | – | MANAGING DIRECTOR | 06/2016 | < 5% |
| WAM CAPITAL, LLC | Domestic Entity | – | STATUS MEMBER | 11/2016 | 10-25% |
| VILLA, RICHARD, MANUEL | Individual | – | GROUP MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | 06/2016 | < 5% |
| TCW ASSET MANAGEMENT COMPANY LLC | Domestic Entity | – | SHAREHOLDER | 06/2016 | 10-25% |
| THE TCW GROUP, INC. | Domestic Entity | TCW ASSET MANAGEMENT COMPANY | SOLE MEMBER | 05/1970 | > 75% |
| XIQUES, GLADYS | Individual | – | GROUP MANAGING DIRECTOR AND GLOBAL CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |
| WEDBUSH, JEAN, ARDELLE | Individual | WEDBUSH CAPITAL | SHAREHOLDER | 01/2020 | 25-50% |
| LANE, MARTIN, KEITH | Individual | – | SENIOR VICE PRESIDENT | 12/2022 | 5-10% |