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Tcw Investment Management Company LLC CRD 106546
$38.8B regulatory AUM 8,937 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
515 South Flower Street, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2025-07-01 |
| DC | RA | APPROVED | 2025-07-01 |
| MD | RA | APPROVED | 2025-07-01 |
| PA | RA | APPROVED | 2025-07-01 |
| VA | RA | APPROVED | 2025-07-01 |
| NJ | RA | APPROVED | 2025-06-30 |
| SC | RA | APPROVED | 2025-02-05 |
| NH | RA | APPROVED | 2025-02-03 |
| CT | RA | APPROVED | 2025-01-31 |
| ME | RA | APPROVED | 2025-01-31 |
| NC | RA | APPROVED | 2025-01-31 |
| RI | RA | APPROVED | 2025-01-31 |
| VT | RA | APPROVED | 2025-01-31 |
| AZ | RA | APPROVED | 2024-09-11 |
| ND | RA | APPROVED | 2024-09-03 |
| CO | RA | APPROVED | 2024-08-27 |
| NM | RA | APPROVED | 2024-08-27 |
| SD | RA | APPROVED | 2024-08-27 |
| UT | RA | APPROVED | 2024-08-27 |
| IL | RA | APPROVED | 2024-05-08 |
| LA | RA | APPROVED | 2024-05-08 |
| NY | RA | APPROVED | 2024-05-08 |
| AR | RA | APPROVED | 2024-05-07 |
| WI | RA | APPROVED | 2024-05-06 |
| KY | RA | APPROVED | 2024-05-03 |
| MA | RA | APPROVED | 2024-05-01 |
| MN | RA | APPROVED | 2024-05-01 |
| OK | RA | APPROVED | 2024-05-01 |
| IA | RA | APPROVED | 2024-03-22 |
| MI | RA | APPROVED | 2024-03-22 |
| IN | RA | APPROVED | 2024-03-21 |
| KS | RA | APPROVED | 2024-03-21 |
| NE | RA | APPROVED | 2024-03-21 |
| CA | RA | APPROVED | 2024-03-20 |
| MO | RA | APPROVED | 2024-03-20 |
| OH | RA | APPROVED | 2024-03-20 |
| TX | RA | APPROVED_RES | 2024-03-20 |
Branch Locations
515 South Flower Street, Los Angeles, CA 90071 • United States
The John Hancock Tower 200 Clarendon St 51St Floor, Boston, MA 02116 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Putnam Retail Management | Andover/Boston | MA | 01/2016 | 01/2024 |
| Tcw Llc | Los Angeles | CA | 03/2024 | Present |
| Tcw Funds Distributors | Los Angeles | CA | 03/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2016-05-04 |
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