Tcw Investment Management Company Llc
SEC-registered
Mutual Fund / Asset Manager · Large ($10B–$100B)
CRD 106546
· SEC file 801-29075
· Los Angeles, CA
· WWW.LINKEDIN.COM
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ADV data as of May 05, 2026
- Regulatory AUM
- $38.8B
- Discretionary
- $38.8B
- Clients
- 4,945
- Avg AUM / client
- $7.9M
- Accounts
- 4,982
- Employees
- 405
AUM over time
$18.1B
$52.5B
Dec 2011
May 2026
Annual snapshots from Form ADV filings · as of May 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,748 | $2.4B | 6.25% |
| High net worth individuals | 15 | $107M | 0.27% |
| Investment companies | 12 | $29.5B | 76.0% |
| Pooled investment vehicles (non-investment companies) | 9 | $6.1B | 15.7% |
| Pension and profit sharing plans | 40 | $514M | 1.32% |
| Charitable organizations | 48 | $77.9M | 0.2% |
| Insurance companies | 1 | $297K | 0.0% |
| Sovereign wealth funds and foreign official institutions | 1 | $1.3M | 0.0% |
| Corporations and other businesses | 71 | $121M | 0.31% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Flint Area Sheet Metal Workers Local 7 4 Pension Fund Board Of Trustees, Flint Area Sheet Metal Workers Local 7 Zone 4 | 2024 | |
| Boilermaker Blacksmith National Pension Trust Board Of Trustees Boilermaker Blacksmith National | 2024 | |
| Pension Plan For Employees At Ornl Ut Battelle, Llc | 2024 |
People (47)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stern, Marc, Irwin | Board Member, Chairman | Jul 2009 (17y) | Less than 5% | |
| Xiques, Gladys | Global Chief Compliance Officer | Jan 2021 (6y) | Less than 5% | |
| Villa, Richard, Manuel | Executive Vice President, Chief Financial Officer | Jul 2021 (5y) | Less than 5% | |
| Koch, Kathryn, Agnes | Board Member, President, Chief Executive Officer | Feb 2023 (4y) | Less than 5% | |
| Bowden, Andrew, John | Executive Vice President, General Counsel, Secretary | Sep 2023 (3y) | Less than 5% | |
| Stolfi, Melissa, Lynn | Executive Vice President, Chief Operating Officer | Mar 2024 (2y) | Less than 5% | |
| Mark A Vasquez | Registered representative | Nov 2005 (21y) | ||
| Jonathan Michael Agresti | Registered representative | CFA | Sep 2006 (20y) | |
| Joana Ramirez Youssefzadeh | Registered representative | Mar 2021 (5y) | ||
| Mark Anthony Romano | Registered representative | Mar 2021 (5y) | ||
| Blake William Bauer | Registered representative | Aug 2022 (4y) | ||
| Dylan Thai | Registered representative | Oct 2022 (4y) | ||
| Jessica Coste | Registered representative | Nov 2022 (4y) | ||
| Daniel Stephen Pace | Registered representative | CFA | Feb 2023 (3y) | |
| Peter Martin Moore | Registered representative | CFA | Feb 2023 (3y) | |
| Shant Thomasian | Registered representative | CFA | Feb 2023 (3y) | |
| Ana Cristina Gutierrez | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Todd Katz | Registered representative | Mar 2023 (3y) | ||
| Thomas Yen Hsi Kuo | Registered representative | Mar 2023 (3y) | ||
| Tracy Lynn Justiniano | Registered representative | Mar 2023 (3y) | ||
| John Charles Lazzaro | Registered representative | Mar 2023 (3y) | ||
| Keith Alan Vanorden | Registered representative | Jan 2024 (3y) | ||
| Anna E Kinsella | Registered representative | Mar 2024 (2y) | ||
| Kevin Michael Sochovka | Registered representative | Mar 2024 (2y) | ||
| Kelly Jean Longo | Registered representative | Mar 2024 (2y) | ||
| Tiffany Nicole Tobias | Registered representative | Mar 2024 (2y) | ||
| Andrew Leo Humberd | Registered representative | May 2024 (2y) | ||
| James Burgess Conner | Registered representative | Jun 2024 (2y) | ||
| Sarah Kaiser | Registered representative | Sep 2024 (2y) | ||
| Brent Paul Abendroth | Registered representative | Oct 2024 (2y) | ||
| Elizabeth Lynne Deveau | Registered representative | CFP | Oct 2024 (2y) | |
| Noah Samuel Normyle | Registered representative | Oct 2024 (2y) | ||
| Sara Nicole Prager Bosek | Registered representative | Oct 2024 (2y) | ||
| Allison Joan Saloy | Registered representative | Dec 2024 (2y) | ||
| Lori Ann Gilchrist | Registered representative | Jan 2025 (2y) | ||
| Crystina S. Kazmier | Registered representative | Jan 2025 (2y) | ||
| Timothy Sean Carley | Registered representative | Jan 2025 (2y) | ||
| Mark Salvatore Oppedisano | Registered representative | Mar 2025 (1y) | ||
| Peyton Suzanne Sventy | Registered representative | Mar 2025 (1y) | ||
| Gregory Thomas Mullaney | Registered representative | CFA | May 2025 (1y) | |
| Erin Catherine Noel | Registered representative | Jun 2025 (1y) | ||
| Richard Alexander Guints | Registered representative | Sep 2025 (1y) | ||
| Ivan Luna | Registered representative | Jan 2026 (1y) | ||
| Zacharias Miller | Registered representative | Mar 2026 (0y) | ||
| Robert Edward Miller | Registered representative | Mar 2026 (0y) | ||
| Jordan P Reals | Registered representative | Mar 2026 (0y) | ||
| Mary Frances Mulcahy | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Tcw Group, Inc. | Sole Member | Jan 1987 | A | 75% or more |
| Clipper Acquisitions Corp. | Shareholder | Feb 2013 | B | ≈ 56.25% – 100% via The Tcw Group, Inc. |
| Clipper Intermediate Corp. | Shareholder | Jul 2012 | B | ≈ 42.19% – 100% via Clipper Acquisitions Corp. |
| Clipper Holding, L.P. | Shareholder | Jul 2012 | B | ≈ 31.64% – 100% via Clipper Intermediate Corp. |
| Nippon Life Insurance Company | Shareholder | Apr 2013 | B | ≈ 5.93% – 50% via Nippon Life Americas, Inc. |
| Nippon Life Americas, Inc. | Shareholder | Dec 2017 | B | ≈ 7.91% – 50% via Clipper Holding, L.P. |
| Clipper Gp, L.L.C. | General Partner | Jul 2012 | B | GP / trustee / elected manager of Clipper Holding, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Clipper Acquisitions Corp.: 75% – 100% of The Tcw Group, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Clipper Intermediate Corp.: 75% – 100% of Clipper Acquisitions Corp. × 75% – 100% of The Tcw Group, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Clipper Holding, L.P.: 75% – 100% of Clipper Intermediate Corp. × 75% – 100% of Clipper Acquisitions Corp. × 75% – 100% of The Tcw Group, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Nippon Life Insurance Company: 75% – 100% of Nippon Life Americas, Inc. × 25% – 50% of Clipper Holding, L.P. × 75% – 100% of Clipper Intermediate Corp. × 75% – 100% of Clipper Acquisitions Corp. × 75% – 100% of The Tcw Group, Inc. × 75% – 100% direct ≈ 5.93% – 50% of the firm
- Nippon Life Americas, Inc.: 25% – 50% of Clipper Holding, L.P. × 75% – 100% of Clipper Intermediate Corp. × 75% – 100% of Clipper Acquisitions Corp. × 75% – 100% of The Tcw Group, Inc. × 75% – 100% direct ≈ 7.91% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Flint Area Sheet Metal Workers Local 7 4 Pension Fund | Board Of Trustees, Flint Area Sheet Metal Workers Local 7 Zone 4 | 203 | $61.8M | 05/01/2024 |
| Boilermaker Blacksmith National Pension Trust | Board Of Trustees Boilermaker Blacksmith National | 27,660 | $7.5B | 01/01/2024 |
| Pension Plan For Employees At Ornl | Ut Battelle, Llc | 6,785 | $2.4B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 2.52 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- UBS $1.5B (4% of AUM) May 2026
- J.P. Morgan $730M (2% of AUM) May 2026
- Union Bancaire Privee, Ubp S.A. $664M (2% of AUM) Mar 2018
- State Street $444M (1% of AUM) Mar 2018
- Northern Trust $432M (1% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗