{"url":"https://nivawealth.com/firms/tcw-investment-management-106546","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106546","regulatoryAum":38819514389,"crd":"106546","secFileNumber":"801-29075","legalName":"TCW Investment Management Company LLC","displayName":"TCW Investment Management","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"515 South Flower Street","city":"Los Angeles","state":"CA","stateName":"California","country":"United States","postalCode":"90071"},"tradeNames":[],"registration":{"secApproved":"18 February 1987","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":405,"advisory":114,"brokerDealerReps":81,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":38819514389,"discretionaryAccounts":4982,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":2813458107,"nonUsClientsPct":1,"nonAumClients":8937},"clientTypes":[{"label":"Individuals (other than HNW)","clients":4748,"regulatoryAum":2424701843},{"label":"High-net-worth individuals","clients":15,"regulatoryAum":106653921},{"label":"Investment companies","clients":12,"regulatoryAum":29484936310},{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":6088299408},{"label":"Pension and profit-sharing plans","clients":40,"regulatoryAum":514343585},{"label":"Charitable organizations","clients":48,"regulatoryAum":77856802},{"label":"Insurance companies","clients":1,"regulatoryAum":297171},{"label":"Sovereign wealth funds and foreign official institutions","clients":1,"regulatoryAum":1268054},{"label":"Corporations and other businesses","clients":71,"regulatoryAum":121157295}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":432234161},{"name":"UBS Europe Se","shortName":"UBS Europe Se","location":"Hessen","smaAssets":1514925204},{"name":"Jpmorgan Chase, NA","shortName":"J.P. Morgan","location":"Brooklyn, NY","smaAssets":730360000}],"custodyNote":"TCW Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kathryn Koch","title":"President, Chief Executive Officer","crd":"4561711"},{"name":"Andrew Bowden","title":"Board Member, Executive Vice President, General Counsel, Secretary","crd":"2480645"},{"name":"Jessica Kung","title":"Executive Vice President and Chief Human Resources Officer","crd":"4833819"},{"name":"Melissa Stolfi","title":"Executive Vice President, Global Chief Operating Officer","crd":"4975592"},{"name":"Richard Villa","title":"Board Member, Executive Vice President, Chief Financial Officer","crd":"5586600"},{"name":"Kathryn Jones","title":"Global Chief Compliance Officer","crd":"6768341"},{"name":"Marc Stern","title":"Chairman","crd":"4335929"}],"ownership":[{"label":"The TCW Group, Inc.","detail":"Sole member in the 75% or more ownership band and a control person, since January 1987."},{"label":"Clipper Acquisitions Corp.","detail":"Indirect owner: a shareholder of The TCW Group, Inc. in the 75% or more band and a control person, since February 2013.","parent":"The TCW Group, Inc."},{"label":"Clipper Intermediate Corp.","detail":"Indirect owner: a shareholder of Clipper Acquisitions Corp. in the 75% or more band and a control person, since July 2012.","parent":"Clipper Acquisitions Corp."},{"label":"Clipper Holding, L.P.","detail":"Indirect owner: a shareholder of Clipper Intermediate Corp. in the 75% or more band and a control person, since July 2012.","parent":"Clipper Intermediate Corp."},{"label":"Clipper GP, L.L.C.","detail":"Indirect owner: general partner of Clipper Holding, L.P. and a control person, since July 2012.","parent":"Clipper Holding, L.P."},{"label":"Nippon Life Americas, Inc.","detail":"Indirect owner: a shareholder of Clipper Holding, L.P. in the 50% to 75% band and a control person, since December 2017.","parent":"Clipper Holding, L.P."},{"label":"Nippon Life Insurance Company","detail":"Indirect owner: a shareholder of Nippon Life Americas, Inc. in the 75% or more band and a control person, since April 2013.","parent":"Nippon Life Americas, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":6,"privateResidences":2},"listedOfficeAddresses":4,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"515 South Flower Street","city":"Los Angeles","headquarters":true},{"street":"301 Hartz Avenue","city":"Danville"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"The John Hancock Tower","city":"Boston"}]},{"state":"New York","offices":1,"addresses":[{"street":"1251 Avenue of the Americas","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"213-244-0000","stateRegisteredReps":20,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"U.S. government/agency bonds","percent":4},{"label":"Sovereign bonds","percent":9},{"label":"Investment grade corporate bonds","percent":3},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"5 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106546/PDF/106546.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does TCW Investment Management have?","answer":"TCW Investment Management has 4,945 clients and manages $38.8 billion for them, as of May 2026. They include 4,748 other individuals, 71 corporations and other businesses and 48 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TCW Investment Management offer?","answer":"TCW Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does TCW Investment Management use?","answer":"TCW Investment Management’s separately managed account assets are held at UBS Europe Se (Hessen), with $1,514,925,204, Jpmorgan Chase, NA (Brooklyn, NY), with $730,360,000 and The Northern Trust Company (Chicago, IL), with $432,234,161. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does TCW Investment Management have?","answer":"TCW Investment Management has 20 investment adviser representatives registered with state securities authorities, out of 405 employees, and 114 perform investment advisory functions. 81 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does TCW Investment Management invest in?","answer":"At the end of its last fiscal year, TCW Investment Management’s separately managed accounts held 79% exchange-traded equities, 9% sovereign bonds, 4% U.S. government and agency bonds, 3% investment grade corporate bonds, 2% high-yield corporate bonds, 2% cash and equivalents and 1% registered funds (mutual funds, ETFs, BDCs). It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TCW Investment Management?","answer":"TCW Investment Management is owned through a chain of holding companies by Nippon Life Insurance Company. Its direct owner is the TCW Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TCW Investment Management get paid?","answer":"TCW Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}