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Erin Catherine Noel

Tcw Investment Management Company LLC

Los Angeles, CA

New York, NY

CRD 6879389

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Employer firm

Tcw Investment Management Company LLC CRD 106546

$38.8B regulatory AUM 8,937 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS

From the firm’s Form ADV. Read the guides:

Current Employers
Tcw Investment Management Company Llc

515 South Flower Street, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2025-07-15
PR RA APPROVED 2025-07-14
OH RA APPROVED 2025-07-11
AZ RA APPROVED 2025-07-10
DE RA APPROVED 2025-07-09
LA RA APPROVED 2025-07-09
MT RA APPROVED 2025-07-08
WY RA APPROVED 2025-07-01
GA RA APPROVED 2025-06-30
AK RA APPROVED 2025-06-27
MA RA APPROVED 2025-06-26
MS RA APPROVED 2025-06-26
IA RA APPROVED 2025-06-25
VI RA APPROVED 2025-06-25
FL RA APPROVED 2025-06-24
HI RA APPROVED 2025-06-24
KY RA APPROVED 2025-06-24
MI RA APPROVED 2025-06-24
VA RA APPROVED 2025-06-24
WI RA APPROVED 2025-06-24
CA RA APPROVED 2025-06-23
CO RA APPROVED 2025-06-23
ID RA APPROVED 2025-06-23
IL RA APPROVED 2025-06-23
IN RA APPROVED 2025-06-23
ME RA APPROVED 2025-06-23
MD RA APPROVED 2025-06-23
MN RA APPROVED 2025-06-23
MO RA APPROVED 2025-06-23
NE RA APPROVED 2025-06-23
NH RA APPROVED 2025-06-23
NJ RA APPROVED 2025-06-23
NM RA APPROVED 2025-06-23
NC RA APPROVED 2025-06-23
ND RA APPROVED 2025-06-23
OK RA APPROVED 2025-06-23
OR RA APPROVED 2025-06-23
PA RA APPROVED 2025-06-23
RI RA APPROVED 2025-06-23
SC RA APPROVED 2025-06-23
SD RA APPROVED 2025-06-23
UT RA APPROVED 2025-06-23
VT RA APPROVED 2025-06-23
WV RA APPROVED 2025-06-23
AL RA APPROVED 2025-06-20
CT RA APPROVED 2025-06-20
KS RA APPROVED 2025-06-20
NV RA APPROVED 2025-06-20
NY RA APPROVED 2025-06-20
TX RA APPROVED_RES 2025-06-20
WA RA APPROVED 2025-06-20
  • AR RA
    APPROVED
    Since 2025-07-15
  • PR RA
    APPROVED
    Since 2025-07-14
  • OH RA
    APPROVED
    Since 2025-07-11
  • AZ RA
    APPROVED
    Since 2025-07-10
  • DE RA
    APPROVED
    Since 2025-07-09
  • LA RA
    APPROVED
    Since 2025-07-09
  • MT RA
    APPROVED
    Since 2025-07-08
  • WY RA
    APPROVED
    Since 2025-07-01
  • GA RA
    APPROVED
    Since 2025-06-30
  • AK RA
    APPROVED
    Since 2025-06-27
  • MA RA
    APPROVED
    Since 2025-06-26
  • MS RA
    APPROVED
    Since 2025-06-26
  • IA RA
    APPROVED
    Since 2025-06-25
  • VI RA
    APPROVED
    Since 2025-06-25
  • FL RA
    APPROVED
    Since 2025-06-24
  • HI RA
    APPROVED
    Since 2025-06-24
  • KY RA
    APPROVED
    Since 2025-06-24
  • MI RA
    APPROVED
    Since 2025-06-24
  • VA RA
    APPROVED
    Since 2025-06-24
  • WI RA
    APPROVED
    Since 2025-06-24
  • CA RA
    APPROVED
    Since 2025-06-23
  • CO RA
    APPROVED
    Since 2025-06-23
  • ID RA
    APPROVED
    Since 2025-06-23
  • IL RA
    APPROVED
    Since 2025-06-23
  • IN RA
    APPROVED
    Since 2025-06-23
  • ME RA
    APPROVED
    Since 2025-06-23
  • MD RA
    APPROVED
    Since 2025-06-23
  • MN RA
    APPROVED
    Since 2025-06-23
  • MO RA
    APPROVED
    Since 2025-06-23
  • NE RA
    APPROVED
    Since 2025-06-23
  • NH RA
    APPROVED
    Since 2025-06-23
  • NJ RA
    APPROVED
    Since 2025-06-23
  • NM RA
    APPROVED
    Since 2025-06-23
  • NC RA
    APPROVED
    Since 2025-06-23
  • ND RA
    APPROVED
    Since 2025-06-23
  • OK RA
    APPROVED
    Since 2025-06-23
  • OR RA
    APPROVED
    Since 2025-06-23
  • PA RA
    APPROVED
    Since 2025-06-23
  • RI RA
    APPROVED
    Since 2025-06-23
  • SC RA
    APPROVED
    Since 2025-06-23
  • SD RA
    APPROVED
    Since 2025-06-23
  • UT RA
    APPROVED
    Since 2025-06-23
  • VT RA
    APPROVED
    Since 2025-06-23
  • WV RA
    APPROVED
    Since 2025-06-23
  • AL RA
    APPROVED
    Since 2025-06-20
  • CT RA
    APPROVED
    Since 2025-06-20
  • KS RA
    APPROVED
    Since 2025-06-20
  • NV RA
    APPROVED
    Since 2025-06-20
  • NY RA
    APPROVED
    Since 2025-06-20
  • TX RA
    APPROVED_RES
    Since 2025-06-20
  • WA RA
    APPROVED
    Since 2025-06-20

Branch Locations

515 South Flower Street, Los Angeles, CA 90071 • United States

1251 Avenue Of The Americas, Suite 4700, New York, NY 10020 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Neuberger Berman New York NY 11/2017 05/2025
Odyssey Networks New York NY 05/2014 10/2017
Tcw Llc Los Angeles CA 05/2025 Present
Tcw Funds Distributors Los Angeles CA 05/2025 Present
  • 11/2017 → 05/2025
    Neuberger Berman
    New York, NY
  • 05/2014 → 10/2017
    Odyssey Networks
    New York, NY
  • 05/2025 → Present
    Tcw Llc
    Los Angeles, CA
  • 05/2025 → Present
    Tcw Funds Distributors
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-23
S63 Uniform Securities Agent State Law Examination 2019-05-17
  • S65 Uniform Investment Adviser Law Examination
    2019-09-23
  • S63 Uniform Securities Agent State Law Examination
    2019-05-17
Other Names
  • Erin Catherine Sullivan

View on SEC IAPD

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