METROPOLITAN WEST ASSET MANAGEMENT LLC
Adviser information for METROPOLITAN WEST ASSET 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 | California, United States |
Employees
| Total Number of Employees | 348 |
|---|---|
| Investment Advisory/Research | 68 |
| Registered Broker-Dealer Representatives | 64 |
| 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 | 144 | $102.8B |
| Non-Discretionary | 2 | $1.0M |
| Total | 146 | $102.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $71.2M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 11 | $79.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $633.7M |
| Pension and profit sharing plans | 45 | $7.3B |
| Charitable organizations | 25 | $5.0B |
| State or municipal gov entities | 18 | $6.2B |
| Other investment advisers | <5 | $0 |
| Insurance companies | 11 | $2.5B |
| Sovereign wealth funds and foreign official institutions | <5 | $261.3M |
| Corporations or other businesses | 5 | $1.7B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS. |
|---|---|
| Compensation | % of AUMFixed feesPerformance-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 | 75.1M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FIDUCIARY ASSET MANAGEMENT PROGRAM | CITIGROUP GLOBAL MARKETS INC. |
Identifiers
| SEC RIA File Number | 801-53332 |
|---|---|
| SEC ERA File Number | 801-53332 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104571 |
| Legal Entity Identifier | None |
Principal Office
515 SOUTH FLOWER STREETLOS ANGELES
CA
United States
Monday - Friday, 6:00AM - 5:00PM
Tel: 213-244-1050, 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
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 |
| 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 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STERN, MARC, IRWIN | Individual | – | CHAIRMAN, ELECTED MANAGER | 02/2013 | < 5% |
| VILLA, RICHARD, MANUEL | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, ELECTED MANAGER | 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 | |
| TCW ASSET MANAGEMENT COMPANY LLC | Domestic Entity | – | MEMBER | 04/2014 | > 75% |
| TCW GROUP, INC. | Domestic Entity | TCW ASSET MANAGEMENT CO | SHAREHOLDER | 05/1970 | > 75% |
| XIQUES, GLADYS | Individual | – | GLOBAL CHIEF COMPLIANCE OFFICER, ELECTED MANAGER | 01/2021 | < 5% |
| WHALEN, BRYAN, THOMAS | Individual | – | CHIEF INVESTMENT OFFICER, GROUP MANAGING DIRECTOR, ELECTED MANAGER | 01/2024 | < 5% |
| KOCH, KATHRYN, AGNES | Individual | – | CHIEF EXECUTIVE OFFICER, ELECTED MANAGER | 02/2023 | < 5% |
| BOWDEN, ANDREW, JOHN | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, ELECTED MANAGER | 09/2023 | < 5% |
| STOLFI, MELISSA, L | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, ELECTED MANAGER | 03/2024 | < 5% |