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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

GW CAPITAL INC

CRD 104698

BELLEVUE, WA

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:57530752-67df-c19d-482a-fb94cce02ef2

Data as of Feb 22, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Feb 22, 2016
15 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: $2.2BItem 5.F on the latest filing (2016-02-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
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: 12
Advisory employees: 6
Accounts: 927
SEC number: 801-35777
CRD: 104698
Filings on the tape: 15
First filed: Nov 15, 2011
Latest filed: Feb 22, 2016
Organised: Corporation, Washington

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
MULLET, SCOTT, STEVEN	PRINCIPAL, SR. VICE PRESIDENT	B	yes	12/2005	Nov 15, 2011	Feb 22, 2016
OTTOSEN, JENNIFER, ANN	CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL	Na	yes	07/2012	Jul 31, 2012	Feb 22, 2016
PARKHURST, THOMAS, EATON	PRINCIPAL, SR. VICE PRESIDENT	B	yes	12/2005	Nov 15, 2011	Feb 22, 2016
WATANABE, GUY, NORMAN	President	D	yes	12/1989	Nov 15, 2011	Feb 22, 2016
BROWN, NICHOLAS, DANIEL	VICE PRESIDENT, PRINCIPAL	A	no	03/2014	Nov 15, 2011	Feb 22, 2016
MCCLUSKEY, DESHAY, GOULD	VICE PRESIDENT, PRINCIPAL	Na	no	03/2014	Mar 26, 2014	Feb 22, 2016
SINANTHA, TOUK	VICE PRESIDENT, PRINCIPAL	A	no	03/2014	Nov 15, 2011	Feb 22, 2016

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
2015	Feb 22, 2016	$2.2B	$2.2B	12	6	n/a	n/a	n/a
2014	Mar 27, 2015	$2.9B	$2.9B	15	6	n/a	n/a	n/a
2013	Mar 26, 2014	$2.9B	$2.9B	15	6	n/a	n/a	n/a
2012	Mar 28, 2013	$2.3B	$2.3B	15	6	n/a	n/a	n/a
2011	Mar 23, 2012	$2.0B	$2.0B	n/a	n/a	n/a	n/a	n/a

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
2015	$2.2B	$2.9B	-25.6%	$2.3B	-2.0%	12	15	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ALTRAVUE CAPITAL, LLC	2	Apr 4, 2016	Jun 20, 2016	BELLEVUE, WA	Team lift out	Other	50.0%

Relationships

Controls (4)

← WATANABE, GUY, NORMANOwnerPRESIDENT, ownership code D, individual
Nov 15, 2011 to presentfactForm ADV
← PARKHURST, THOMAS, EATONOwnerPRINCIPAL, SR. VICE PRESIDENT, ownership code B, individual
Nov 15, 2011 to presentfactForm ADV
← MULLET, SCOTT, STEVENOwnerPRINCIPAL, SR. VICE PRESIDENT, ownership code B, individual
Nov 15, 2011 to presentfactForm ADV
← OTTOSEN, JENNIFER, ANNOwnerCHIEF COMPLIANCE OFFICER & GENERAL COUNSEL, ownership code NA, individual
Jul 31, 2012 to presentfactForm ADV

Owns (3)

← SINANTHA, TOUKOwnerVICE PRESIDENT, PRINCIPAL, ownership code A, individual
Nov 15, 2011 to presentfactForm ADV
← MCCLUSKEY, DESHAY, GOULDOwnerVICE PRESIDENT, PRINCIPAL, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← BROWN, NICHOLAS, DANIELOwnerVICE PRESIDENT, PRINCIPAL, ownership code A, individual
Nov 15, 2011 to presentfactForm ADV

Moved with (1)

→ ALTRAVUE CAPITAL, LLCRegistered adviser2 advisors, team lift out, same day
Apr 4, 2016 to Jun 20, 2016factForm ADV

Registered with (4)

← THOMAS EATON PARKHURSTAdvisorregistration: previous registration
Jan 4, 1993 to Apr 19, 2016factForm ADV
← TOUK SINANTHAAdvisorregistration: previous registration
Dec 8, 2008 to Apr 4, 2016factForm ADV
← DESHAY GOULD MCCLUSKEYAdvisorregistration: previous registration
Aug 22, 2012 to Apr 4, 2016factForm ADV
← YELENA ANATOLYEVNA SCHUBERTAdvisorregistration: previous registration
Jul 21, 2008 to Apr 4, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57530752-67df-c19d-482a-fb94cce02ef2
First observed: Nov 15, 2011
Last observed: Feb 22, 2016 128 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.

GW CAPITAL INC

CRD 104698

BELLEVUE, WA

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:57530752-67df-c19d-482a-fb94cce02ef2

Data as of Feb 22, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MULLET, SCOTT, STEVEN

PRINCIPAL, SR. VICE PRESIDENT

yes

12/2005

Nov 15, 2011

Feb 22, 2016

OTTOSEN, JENNIFER, ANN

CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL

yes

07/2012

Jul 31, 2012

Feb 22, 2016

PARKHURST, THOMAS, EATON

PRINCIPAL, SR. VICE PRESIDENT

yes

12/2005

Nov 15, 2011

Feb 22, 2016

WATANABE, GUY, NORMAN

President

yes

12/1989

Nov 15, 2011

Feb 22, 2016

BROWN, NICHOLAS, DANIEL

VICE PRESIDENT, PRINCIPAL

03/2014

Nov 15, 2011

Feb 22, 2016

MCCLUSKEY, DESHAY, GOULD

VICE PRESIDENT, PRINCIPAL

03/2014

Mar 26, 2014

Feb 22, 2016

SINANTHA, TOUK

VICE PRESIDENT, PRINCIPAL

03/2014

Nov 15, 2011

Feb 22, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Feb 22, 2016

$2.2B

n/a

2014

Mar 27, 2015

$2.9B

n/a

2013

Mar 26, 2014

$2.9B

n/a

2012

Mar 28, 2013

$2.3B

n/a

2011

Mar 23, 2012

$2.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$2.2B

$2.9B

-25.6%

$2.3B

-2.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALTRAVUE CAPITAL, LLC

Apr 4, 2016

Jun 20, 2016

BELLEVUE, WA

Team lift out

Other

50.0%