TCW INVESTMENT MANAGEMENT COMPANY LLC
Adviser information for TCW INVESTMENT MANAGEMENT COMPANY 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 | 403 |
|---|---|
| Investment Advisory/Research | 125 |
| Registered Broker-Dealer Representatives | 75 |
| Registered State Investment Advisers | 17 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,569 | $39.9B |
| Non-Discretionary | 0 | $0 |
| Total | 4,569 | $39.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4,302 | $1.8B |
| HNW Individuals | 11 | $93.6M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 16 | $27.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 12 | $10.1B |
| Pension and profit sharing plans | 43 | $379.6M |
| Charitable organizations | 53 | $62.0M |
| State or municipal gov entities | <5 | $12.0M |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $375,791 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 95 | $134.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7162 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 2.2B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OPPORTUNITY | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| PERSONALIZED UNIFIED MANAGED ACCOUNT | WELLS FARGO CLEARING SERVICES, LLC |
| MANAGED ACCOUNT ACCESS | CHARLES SCHWAB & CO., INC. |
| RAYMOND JAMES CONSULTING SERVICES, FREEDOM UMA PROGRAM AND PORTFOLIO SELECT UMA PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| MANAGER SELECT, MANAGER ACCESS SELECT AND BANK WEALTH PROGRAM | LPL FINANCIAL LLC |
| MANAGED ACCOUNT LINK / MANAGED ACCOUNT COMMAND/BNY MELLON SPONSORED PROGRAM/MANAGED ACCOUNT ADVISOR/UMA PROGRAM/MANAGED360 | BNY MELLON ADVISORS, INC. |
| ACCESS, STRATEGIC WEALTH PORTFOLIO AND ADVISOR ALLOCATION PROGRAM | UBS FINANCIAL SERVICES INC. |
| MODEL PROGRAM AND BANK MODEL PROGRAM | ENVESTNET PMC |
| PORTFOLIO MANAGER PROGRAM, STRATIS AND UNIFIED MANAGED ACCOUNT PROGRAM | J.P. MORGAN SECURITIES LLC |
| MANAGED DIVERSIFIED PORTFOLIOS | WELLS FARGO BANK, N.A. |
| INVESTMENT ADVISORY AND SELECT PORTFOLIO SOLUTIONS PROGRAMS | MANAGED ACCOUNT ADVISORS LLC |
| AMERIPRISE SELECT SEPARATE ACCOUNT PROGRAM | AMERIPRISE FINANCIAL SERVICES, LLC |
| SELECT UMA PROGRAM | MORGAN STANLEY |
| UNIFIED OVERLAY MANAGEMENT PROGRAM | FDX ADVISORS, INC. |
| MODEL PROGRAM | ADHESION WEALTH ADVISOR SOLUTIONS |
| FIDELITY MANAGED ACCOUNT XCHANGE | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| SMARTX PLATFORM | SMARTX ADVISORY SOLUTIONS |
| MODEL PROGRAM | SEI GLOBAL SERVICES, INC. |
| VESTMARK MANAGER MARKETPLACE | VESTMARK ADVISORY SOLUTIONS, INC. |
Identifiers
| SEC RIA File Number | 801-29075 |
|---|---|
| SEC ERA File Number | 801-29075 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106546 |
| Legal Entity Identifier | None |
Principal Office
515 SOUTH FLOWER STREETLOS ANGELES
CA
United States
Monday - Friday, 6:00 AM - 5:00 - PM
Tel: 213-244-0000, Fax: 213-244-0491
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
SHAMINA SNEED
MANAGING DIRECTOR, DEPUTY GENERAL COUNSEL & ASSISTANT SECRETARY
1251 AVENUE OF THE AMERICAS
SUITE 4700
NEW YORK
NY
United States
Tel:
212-771-4088
Fax:
213-244-0491
S************@******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, LLC | 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 |
| SEPULVEDA MANAGEMENT LLC | Other investment adviser, including financial planners |
| 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 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE TCW GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 01/1987 | > 75% |
| STERN, MARC, IRWIN | Individual | – | BOARD MEMBER, CHAIRMAN | 07/2009 | < 5% |
| VILLA, RICHARD, MANUEL | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 07/2021 | < 5% |
| 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 | |
| XIQUES, GLADYS | Individual | – | GLOBAL CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |
| KOCH, KATHRYN, AGNES | Individual | – | BOARD MEMBER, PRESIDENT, CHIEF EXECUTIVE OFFICER | 02/2023 | < 5% |
| BOWDEN, ANDREW, JOHN | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 09/2023 | < 5% |
| STOLFI, MELISSA, L | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 03/2024 | < 5% |