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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

EAST WEST INVESTMENT MANAGEMENT LLC

CRD 305688

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2a3434d5-da2e-176a-3067-54aa2de75d47

Data as of Nov 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 17, 2019 to Nov 12, 2020
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $350MItem 5.F on the latest filing (2020-11-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $350Mgross asset value as reported per fund; never fund size
SEC number: 801-117650
CRD: 305688
Filings on the tape: 4
First filed: Oct 17, 2019
Latest filed: Nov 12, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
EAST WEST INVESTMENT MANAGEMENT CLO 2019-1, LTD.	Securitized Asset Fund	$350M	Nov 12, 2020	5	Mar 3, 2020	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BEN-ATTAR, BENJAMIN, DAVID	CHIEF EXECUTIVE OFFICER	Na	yes	10/2020	Oct 17, 2019	Nov 12, 2020
DIXON, SEAN, T.	SENIOR MANAGING DIRECTOR	Na	yes	07/2019	Oct 17, 2019	Nov 12, 2020
EAST WEST BANCORP INC.	INITIAL MEMBER	E	yes	07/2019	Oct 17, 2019	Nov 12, 2020
HALASY, HALE	CHIEF COMPLIANCE OFFICER	Na	no	07/2019	Oct 17, 2019	Nov 12, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
EAST WEST BANK	n/a	n/a	n/a	N	yes	n/a
EAST WEST MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 3, 2020	$350M	$350M	7	7	1	1	$350M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$350M	n/a	n/a	n/a	n/a	7	n/a	1	n/a

Relationships

Advises (1)

→ EAST WEST INVESTMENT MANAGEMENT CLO 2019-1, LTD.Private fundSecuritized Asset Fund, IA
Mar 3, 2020 to presentfactForm ADV

Owns (1)

← HALASY, HALEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 17, 2019 to presentfactForm ADV

Controls (3)

← BEN-ATTAR, BENJAMIN, DAVIDOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Oct 17, 2019 to presentfactForm ADV
← DIXON, SEAN, T.OwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Oct 17, 2019 to presentfactForm ADV
← EAST WEST BANCORP INC.OwnerINITIAL MEMBER, ownership code E, domestic entity
Oct 17, 2019 to presentfactForm ADV

Dated events

Occurred
Nov 12, 2020
Control person left
Michael Andrew Maria (Chief Executive Officer And Chief Investment Officer) no longer on Schedule A of East West Investment Management Llc (listed 2020-09-02, absent 2020-11-12)
Form ADVobserved 4 days ago
Occurred
Oct 17, 2019
First Form ADV filing
East West Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a3434d5-da2e-176a-3067-54aa2de75d47
First observed: Oct 17, 2019
Last observed: Nov 12, 2020 71 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

EAST WEST INVESTMENT MANAGEMENT LLC

CRD 305688

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2a3434d5-da2e-176a-3067-54aa2de75d47

Data as of Nov 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

EAST WEST INVESTMENT MANAGEMENT CLO 2019-1, LTD.

Securitized Asset Fund

$350M

Nov 12, 2020

Mar 3, 2020

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEN-ATTAR, BENJAMIN, DAVID

CHIEF EXECUTIVE OFFICER

yes

10/2020

Oct 17, 2019

Nov 12, 2020

DIXON, SEAN, T.

SENIOR MANAGING DIRECTOR

yes

07/2019

Oct 17, 2019

Nov 12, 2020

EAST WEST BANCORP INC.

INITIAL MEMBER

yes

07/2019

Oct 17, 2019

Nov 12, 2020

HALASY, HALE

CHIEF COMPLIANCE OFFICER

07/2019

Oct 17, 2019

Nov 12, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EAST WEST BANK

n/a

yes

n/a

EAST WEST MARKETS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 3, 2020

$350M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$350M

n/a