TCW SPECIAL SITUATIONS, LLC
Adviser information for TCW SPECIAL SITUATIONS, LLC last updated from Form ADV on December 1st, 2023. 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 | 24 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $21.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $21.6M |
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 | 1 | $21.6M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-77428 |
|---|---|
| SEC ERA File Number | 801-77428 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166286 |
| Legal Entity Identifier | None |
Principal Office
515 SOUTH FLOWER STREETLOS ANGELES
CA
United States
Monday - Friday, 7:30 A.M. TO 5 P.M.
Tel: 213-244-0000, Fax: 213-244-0645
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 |
| REGIMENT CAPITAL V GP, LP | Sponsor, 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 ASSET MANAGEMENT COMPANY TALF II LLC | Other investment adviser, including financial planners |
| 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 HIGH DIVIDEND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 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 MOF III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW PRIVATE FUNDS MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW RCS ARBITRAGE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW RESCUE FINANCING GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCW SINGAPORE ASSET MANAGEMENT PTE. LTD. | Other investment adviser, including financial planners |
| TCW-WLA JV VENTURE LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LP | Hedge Fund | $21.6M | $1.0M | 141 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE TCW GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 11/2012 | > 75% |
| 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% |
| Kraninger, Elizabeth, Tech | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 02/2021 | < 5% |
| KOCH, KATHRYN, AGNES | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 02/2023 | < 5% |
| BOWDEN, ANDREW, JOHN | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 09/2023 | < 5% |