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CRD 131967
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| WEST GATE STRATEGIC INCOME FUND I MASTER FUND, LTD. | Hedge Fund | $2.4M | Sep 26, 2014 | 1 | Mar 30, 2012 | reported | 021-74457 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | LIMITED PARTNER | C | yes | 02/2013 | Feb 25, 2013 | Sep 26, 2014 |
| CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | GENERAL PARTNER | F | yes | 10/2007 | May 9, 2013 | Sep 26, 2014 |
| CARLYLE FINANCIAL SERVICES, LTD. | GENERAL PARTNER | F | yes | 10/2007 | Feb 25, 2013 | Sep 26, 2014 |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | SOLE MEMBER | E | yes | 07/2012 | Sep 26, 2013 | Sep 26, 2014 |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | LIMITED PARTNER | E | yes | 05/2010 | Sep 26, 2013 | Sep 26, 2014 |
| CARLYLE GROUP MANAGEMENT L.L.C. | GENERAL PARTNER | F | yes | 07/2011 | Feb 25, 2013 | Sep 26, 2014 |
| CARLYLE HOLDINGS II GP, L.L.C. | GENERAL PARTNER | F | yes | 11/2011 | Feb 25, 2013 | Sep 26, 2014 |
| CARLYLE HOLDINGS II, L.P. | GENERAL PARTNER | F | yes | 05/2012 | Feb 25, 2013 | Sep 26, 2014 |
| CARLYLE OFFSHORE PARTNERS II HOLDINGS, LTD. | Member | E | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| CARLYLE OFFSHORE PARTNERS II, LTD. | VOTING MEMBER | E | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| CARLYLE PARTNERS V, L.P. | LIMITED PARTNER | C | yes | 02/2013 | Feb 25, 2013 | Sep 26, 2014 |
| CLIPPER ACQUISITIONS CORP. | Shareholder | E | yes | 02/2013 | Feb 25, 2013 | Sep 26, 2014 |
| CLIPPER GP, L.L.C. | GENERAL PARTNER | F | yes | 07/2012 | Feb 25, 2013 | Sep 26, 2014 |
| CLIPPER HOLDING, L.P. | Shareholder | E | yes | 07/2012 | Feb 25, 2013 | Sep 26, 2014 |
| CLIPPER INTERMEDIATE CORP. | Shareholder | E | yes | 07/2012 | Feb 25, 2013 | Sep 26, 2014 |
| CONWAY, WILLIAM, ELIAS | NON-VOTING MEMBER | C | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| CP V ILP GP, LTD. | GENERAL PARTNER | F | yes | 05/2007 | May 9, 2013 | Sep 26, 2014 |
| CP V INVESTMENT HOLDINGS L.P. | LIMITED PARTNER | C | yes | 07/2009 | May 9, 2013 | Sep 26, 2014 |
| D'ANIELLO, DANIEL, ANTHONY | NON-VOTING MEMBER | C | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| DBD CAYMAN HOLDINGS, LTD. | Member | E | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| DBD CAYMAN, LTD. | GENERAL PARTNER | F | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| DEVITO, DAVID, STEPHEN | CHIEF FINANCIAL OFFICER | Na | yes | 11/2010 | Mar 30, 2012 | Sep 26, 2014 |
| ENGELSMAN, JEFFREY, ALAN | GLOBAL CHIEF COMPLIANCE OFFICER | Na | yes | 08/2014 | Sep 26, 2014 | Sep 26, 2014 |
| LIPPMAN, DAVID, BRIAN | CHIEF EXECUTIVE OFFICER | Na | yes | 06/2008 | Mar 30, 2012 | Sep 26, 2014 |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | Member | E | yes | 05/2004 | Mar 30, 2012 | Sep 26, 2014 |
| RIVELLE, CAL | CHIEF OPERATING OFFICER | Na | yes | 06/2008 | Mar 30, 2012 | Sep 26, 2014 |
| RIVELLE, TAD | CHIEF INVESTMENT OFFICER | Na | yes | 03/2005 | Mar 30, 2012 | Sep 26, 2014 |
| RUBENSTEIN, DAVID, MARK | NON-VOTING MEMBER | C | yes | 09/2011 | May 9, 2013 | Sep 26, 2014 |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | Shareholder | E | yes | 05/2012 | Feb 25, 2013 | Sep 26, 2014 |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | SOLE MEMBER | E | yes | 02/2007 | Feb 25, 2013 | Sep 26, 2014 |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | GENERAL PARTNER | F | yes | 02/2012 | Feb 25, 2013 | Sep 26, 2014 |
| TC GROUP V, L.L.C. | GENERAL PARTNER | F | yes | 02/2007 | Feb 25, 2013 | Sep 26, 2014 |
| TC GROUP V, L.P. | GENERAL PARTNER | F | yes | 02/2007 | Feb 25, 2013 | Sep 26, 2014 |
| TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | LIMITED PARTNER | D | yes | 10/2007 | May 9, 2013 | Sep 26, 2014 |
| TCG FINANCIAL SERVICES, L.P. | GENERAL PARTNER | F | yes | 05/2010 | Feb 25, 2013 | Sep 26, 2014 |
| TCG FINANCIAL SERVICES, L.P. | GENERAL PARTNER | F | yes | 10/2007 | Feb 25, 2013 | Sep 26, 2014 |
| TCG HOLDINGS CAYMAN II, L.P. | Shareholder | E | yes | 10/2007 | May 9, 2013 | Sep 26, 2014 |
| TCG HOLDINGS CAYMAN II, L.P. | Shareholder | E | yes | 01/2006 | May 9, 2013 | Sep 26, 2014 |
| TCW ASSET MANAGEMENT CO | MANAGING MEMBER | E | yes | 04/2014 | Sep 26, 2014 | Sep 26, 2014 |
| THE CARLYLE GROUP L.P. | SOLE MEMBER | E | yes | 11/2011 | Feb 25, 2013 | Sep 26, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| TCW ASSET MANAGEMENT CO | n/a | Other adviser | $81B | N | yes | n/a |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | n/a | Asset manager | $79B | Y | yes | n/a |
| TCW INVESTMENT MANAGEMENT CO | n/a | Asset manager | $39B | N | yes | n/a |
| BUCHANAN STREET PARTNERS, L.P. | n/a | Asset manager | $1.6B | N | yes | n/a |
| TCW/SCOGGIN, LLC | n/a | Former SEC adviser | $59.7M | N | yes | n/a |
| TCW SPECIAL SITUATIONS, LLC | n/a | Former SEC adviser | $21.6M | N | yes | n/a |
| TCW-WLA JV VENTURE LLC | n/a | Former SEC adviser | $1.0M | N | yes | n/a |
| ASIAVEST PARTNERS, TCW/YFY LTD. | n/a | n/a | n/a | N | yes | n/a |
| BF IV ADVISORS, LP | n/a | n/a | n/a | N | yes | n/a |
| BF V ADVISORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BF VI ADVISORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BUCHANAN INVESTMENT ADVISORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BUCHANAN INVESTORS II, LP | n/a | n/a | n/a | N | yes | n/a |
| BUCHANAN URBAN INVESTORS II, LLC | n/a | n/a | n/a | N | yes | n/a |
| CRESCENT/MACH I GP CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| HPP GENERAL PARTNER, LLC | n/a | n/a | n/a | N | yes | n/a |
| P.T. BAHANA TCW INVESTMENT MANAGEMENT | n/a | n/a | n/a | N | yes | n/a |
| REGIMENT CAPITAL V GP, LP | n/a | n/a | n/a | N | yes | n/a |
| TCW (LINC II) LP | n/a | n/a | n/a | N | yes | n/a |
| TCW (LINC IV) LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW (SHOP II) L.P. | n/a | n/a | n/a | N | yes | n/a |
| TCW (SHOP III) L.P. | n/a | n/a | n/a | N | yes | n/a |
| TCW (SHOP IV) LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW (SHOP V) LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW ADVISORS (BERMUDA) LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW ASIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| TCW ASSET MANAGEMENT COMPANY INTERNATIONAL LIMITED | n/a | n/a | n/a | N | yes | n/a |
| TCW FUNDS DISTRIBUTORS | n/a | n/a | n/a | N | yes | n/a |
| TCW SPECIAL MORTGAGE CREDITS FUND II GP LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW/CRATON II GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW/CRESCENT MEZZANINE III, LLC | n/a | n/a | n/a | N | yes | n/a |
| TCW/SCOGGIN ADMINISTRATOR, LLC | n/a | n/a | n/a | N | yes | n/a |
| TRUST COMPANY OF THE WEST | n/a | n/a | n/a | N | yes | n/a |
| WGMA, LLC | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Sep 26, 2014 | $2.4M | $2.4M | 8 | 6 | n/a | 1 | $2.4M |
| 2013 | Sep 26, 2013 | $2.2M | $2.2M | 7 | 6 | n/a | 1 | $2.2M |
| 2012 | Sep 27, 2012 | $1.9M | $1.9M | n/a | n/a | n/a | 1 | $1.9M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $2.4M | $2.2M | 7.9% | n/a | n/a | 8 | 7 | n/a | n/a |