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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

KEITH ALAN VANORDEN

Advisor at TCW INVESTMENT MANAGEMENT COMPANY LLC

Boston,, MA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:38adb18e-c8fc-5e99-d9d9-c3d6d06a1e37

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2008 to Sep 14, 2026

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

Current firm: TCW INVESTMENT MANAGEMENT COMPANY LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 29, 1996
First registration: Jan 10, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 2685918

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TCW INVESTMENT MANAGEMENT COMPANY LLC	Asset manager	Jan 16, 2024	n/a	yes	Boston,, MA\|LOS ANGELES, CA	Current employment
BLACKROCK FUND ADVISORS	Asset manager	Sep 28, 2010	Dec 7, 2023	no	SAN FRANCISCO, CA\|BOSTON, MA	Previous registration
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Former SEC adviser	Jan 6, 2010	Sep 15, 2010	no	n/a	Previous registration
LINCOLN FINANCIAL DISTRIBUTORS, INC.	n/a	Jan 10, 2008	Dec 31, 2009	no	RADNOR, PA\|PITTSFORD, NY\|NEWTOWN SQUARE, PA\|PITTSFORD, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BLACKROCK FUND ADVISORS	TCW INVESTMENT MANAGEMENT COMPANY LLC	Dec 7, 2023	Jan 16, 2024	40	Firm change	Other
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	BLACKROCK FUND ADVISORS	Sep 15, 2010	Sep 28, 2010	13	Firm change	Other
LINCOLN FINANCIAL DISTRIBUTORS, INC.	DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Dec 31, 2009	Jan 6, 2010	6	Firm change	Other

Relationships

Registered with (4)

→ TCW INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ BLACKROCK FUND ADVISORSRegistered adviserregistration: previous registration
Sep 28, 2010 to Dec 7, 2023factForm ADV
→ DELAWARE CAPITAL MANAGEMENT ADVISERS, INCRegistered adviserregistration: previous registration
Jan 6, 2010 to Sep 15, 2010factForm ADV
→ LINCOLN FINANCIAL DISTRIBUTORS, INC.Registered adviserregistration: previous registration
Jan 10, 2008 to Dec 31, 2009factForm ADV

Dated events

Occurred
Dec 7, 2023
Advisor changed firm
Keith Alan Vanorden left Blackrock Fund Advisors for Tcw Investment Management Company Llc (registered 2024-01-16)
Form ADVobserved 5 days ago