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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

TCW SPECIAL SITUATIONS, LLC

CRD 166286

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:5a59151a-7fcb-2f22-9fe3-af695c516bf3

Data as of Dec 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 14
On other graphs: 0
Observed: Nov 28, 2012 to Dec 1, 2023
22 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: $21.6MItem 5.F on the latest filing (2023-12-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $21.6M
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: 24
Advisory employees: 12
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $21.6Mgross asset value as reported per fund; never fund size
SEC number: 801-77428
CRD: 166286
Filings on the tape: 22
First filed: Nov 28, 2012
Latest filed: Dec 1, 2023
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
SPECIAL SITUATIONS FUND III, LP	Hedge Fund	$36.5M	Feb 5, 2018	49	Feb 10, 2012	dropped	021-70856
REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LP	Hedge Fund	$21.6M	Dec 1, 2023	141	Feb 10, 2012	reported	021-159534

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
BOWDEN, ANDREW, JOHN	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY	Na	yes	09/2023	Oct 2, 2023	Dec 1, 2023
CLIPPER ACQUISITIONS CORP.	Shareholder	E	yes	02/2013	Feb 22, 2013	Dec 1, 2023
CLIPPER GP, L.L.C.	GENERAL PARTNER	F	yes	07/2012	Feb 22, 2013	Dec 1, 2023
CLIPPER HOLDING, L.P.	Shareholder	E	yes	07/2012	Feb 22, 2013	Dec 1, 2023
CLIPPER INTERMEDIATE CORP.	Shareholder	E	yes	07/2012	Feb 22, 2013	Dec 1, 2023
KOCH, KATHRYN, AGNES	PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	02/2023	Mar 29, 2023	Dec 1, 2023
Kraninger, Elizabeth, Tech	EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	02/2021	Feb 26, 2021	Dec 1, 2023
THE TCW GROUP, INC.	SOLE MEMBER	E	yes	11/2012	Nov 28, 2012	Dec 1, 2023
VILLA, RICHARD, MANUEL	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER	Na	yes	07/2021	Nov 28, 2012	Dec 1, 2023
XIQUES, GLADYS	GLOBAL CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Jan 8, 2021	Dec 1, 2023

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
TCW ASSET MANAGEMENT COMPANY LLC	n/a	Other adviser	$81B	N	yes	n/a
METROPOLITAN WEST ASSET MANAGEMENT LLC	n/a	Asset manager	$79B	N	yes	n/a
TCW INVESTMENT MANAGEMENT COMPANY LLC	n/a	Asset manager	$39B	N	yes	n/a
BUCHANAN STREET PARTNERS, L.P.	n/a	Asset manager	$1.6B	N	yes	n/a
SEPULVEDA MANAGEMENT LLC	n/a	Asset manager	$355M	N	yes	n/a
TCW-WLA JV VENTURE LLC	n/a	Former SEC adviser	$1.0M	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
NB REAL PROPERTY, L.P.	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	Y	yes	n/a
SEPULVEDA GP 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 ASSET MANAGEMENT COMPANY TALF II LLC	n/a	n/a	n/a	N	yes	n/a
TCW AUSTRALIA PTY LTD	n/a	n/a	n/a	N	yes	n/a
TCW DLPF8 GP LLC	n/a	n/a	n/a	N	yes	n/a
TCW EUROPE LIMITED	n/a	n/a	n/a	N	yes	n/a
TCW FUNDS DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
TCW HIGH DIVIDEND GP, LLC	n/a	n/a	n/a	N	yes	n/a
TCW ITALY SIM S.P.A.	n/a	n/a	n/a	N	yes	n/a
TCW JAPAN, LTD.	n/a	n/a	n/a	N	yes	n/a
TCW LAMA GP LLC	n/a	n/a	n/a	N	yes	n/a
TCW MOF III GP, LLC	n/a	n/a	n/a	N	yes	n/a
TCW PRIVATE FUNDS MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
TCW RCS ARBITRAGE GP, LLC	n/a	n/a	n/a	N	yes	n/a
TCW RESCUE FINANCING GP LLC	n/a	n/a	n/a	N	yes	n/a
TCW SINGAPORE ASSET MANAGEMENT PTE. LTD.	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
Boston	Ma	United States	6	no
NEW YORK	NY	United States	6	no
Chicago	IL	United States	1	no

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
2022	Mar 29, 2023	$21.6M	$21.6M	24	12	3	1	$21.6M
2021	Mar 29, 2022	$18.8M	$18.8M	26	12	3	1	$18.8M
2020	Mar 29, 2021	$23.7M	$23.7M	26	11	3	1	$237M
2019	Mar 27, 2020	$64.2M	$64.2M	28	12	3	1	$62.2M
2018	Mar 28, 2019	$119M	$119M	32	15	4	1	$119M
2017	Mar 28, 2018	$198M	$198M	35	15	4	1	$198M
2016	Mar 30, 2017	$308M	$308M	37	13	n/a	2	$308M
2015	Mar 30, 2016	$532M	$532M	28	17	n/a	2	$532M
2014	Mar 31, 2015	$521M	$521M	27	16	n/a	1	$1.7B
2013	Mar 28, 2014	$1.7B	$1.7B	25	16	n/a	1	$1.7B
2012	Mar 27, 2013	$1.9B	$1.7B	24	13	n/a	1	$1.7B

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
2022	$21.6M	$18.8M	15.0%	$64.2M	-30.5%	24	26	3	3

Relationships

Affiliated with (11)

→ METROPOLITAN WEST ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ TCW ASSET MANAGEMENT COMPANY LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ TCW INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ TCW-WLA JV VENTURE LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BUCHANAN STREET PARTNERS, L.P.Registered adviserother investment adviser, investment company, pooled vehicle sponsor, common control
factForm ADV
→ SEPULVEDA MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← TCW-WLA JV VENTURE LLCRegistered adviserother investment adviser, common control
factForm ADV
← TCW DISTRESSED MANAGEMENT CO, LLCRegistered adviserother investment adviser, common control
factForm ADV
← TCW/SCOGGIN, LLCRegistered adviserother investment adviser, common control
factForm ADV
← WEST GATE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← BUCHANAN STREET PARTNERSRegistered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LPPrivate fundHedge Fund, IA
Feb 10, 2012 to presentfactForm ADV
→ SPECIAL SITUATIONS FUND III, LPPrivate fundHedge Fund, IA, no longer reported
Feb 10, 2012 to Feb 5, 2018factForm ADV

Controls (10)

← BOWDEN, ANDREW, JOHNOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Oct 2, 2023 to presentfactForm ADV
← KOCH, KATHRYN, AGNESOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2023 to presentfactForm ADV
← XIQUES, GLADYSOwnerGLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 8, 2021 to presentfactForm ADV
← VILLA, RICHARD, MANUELOwnerEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 28, 2012 to presentfactForm ADV
← Kraninger, Elizabeth, TechOwnerEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, ownership code NA, individual
Feb 26, 2021 to presentfactForm ADV
← CLIPPER ACQUISITIONS CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to presentfactForm ADV
← CLIPPER GP, L.L.C.OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 22, 2013 to presentfactForm ADV
← CLIPPER HOLDING, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to presentfactForm ADV
← CLIPPER INTERMEDIATE CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to presentfactForm ADV
← THE TCW GROUP, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Nov 28, 2012 to presentfactForm ADV

Dated events

Occurred
Oct 2, 2023
Control person left
Meredith Jackson (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of Tcw Special Situations, Llc (listed 2023-06-26, absent 2023-10-02)
Form ADVobserved 4 days ago
Occurred
Oct 2, 2023
Control person joined
John Andrew Bowden (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2023
Control person joined
Agnes Kathryn Koch (President And Chief Executive Officer) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2023
Control person left
Brian David Lippman (President And Chief Executive Officer) no longer on Schedule A of Tcw Special Situations, Llc (listed 2022-03-29, absent 2023-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2023
Control person left
Ridings Laird Landmann (Manager) no longer on Schedule A of Tcw Special Situations, Llc (listed 2022-03-29, absent 2023-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2023
Control person left
Irwin Marc Stern (Manager) no longer on Schedule A of Tcw Special Situations, Llc (listed 2022-03-29, absent 2023-03-29)
Form ADVobserved 4 days ago
Occurred
Feb 26, 2021
Control person joined
Ridings Laird Landmann (Manager) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Feb 26, 2021
Control person joined
Irwin Marc Stern (Manager) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Feb 26, 2021
Control person joined
Tech Elizabeth Kraninger (Chief Operating Officer) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Jan 8, 2021
Control person left
Stephen David Devito (Executive Vice President And Chief Operating Officer) no longer on Schedule A of Tcw Special Situations, Llc (listed 2020-03-27, absent 2021-01-08)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2021
Control person left
Alan Jeffrey Engelsman (Global Chief Compliance Officer) no longer on Schedule A of Tcw Special Situations, Llc (listed 2020-03-27, absent 2021-01-08)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2021
Control person joined
Gladys Xiques (Global Chief Compliance Officer) appeared on Schedule A of Tcw Special Situations, Llc
Form ADVobserved 4 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Tcw Special Situations, Llc reported RAUM $198.2M, down 36% from $307.6M (2018-02-05 to 2018-03-28)
Form ADVobserved 4 days ago
$-109M
Occurred
Nov 28, 2012
First Form ADV filing
Tcw Direct Lending Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a59151a-7fcb-2f22-9fe3-af695c516bf3
First observed: Nov 28, 2012
Last observed: Dec 1, 2023 34 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.

TCW SPECIAL SITUATIONS, LLC

CRD 166286

LOS ANGELES, 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:5a59151a-7fcb-2f22-9fe3-af695c516bf3

Data as of Dec 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:08 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SPECIAL SITUATIONS FUND III, LP

Hedge Fund

$36.5M

Feb 5, 2018

Feb 10, 2012

dropped

021-70856

REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LP

Hedge Fund

$21.6M

Dec 1, 2023

141

Feb 10, 2012

reported

021-159534

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWDEN, ANDREW, JOHN

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY

yes

09/2023

Oct 2, 2023

Dec 1, 2023

CLIPPER ACQUISITIONS CORP.

Shareholder

yes

02/2013

Feb 22, 2013

Dec 1, 2023

CLIPPER GP, L.L.C.

GENERAL PARTNER

yes

07/2012

Feb 22, 2013

Dec 1, 2023

CLIPPER HOLDING, L.P.

Shareholder

yes

07/2012

Feb 22, 2013

Dec 1, 2023

CLIPPER INTERMEDIATE CORP.

Shareholder

yes

07/2012

Feb 22, 2013

Dec 1, 2023

KOCH, KATHRYN, AGNES

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

02/2023

Mar 29, 2023

Dec 1, 2023

Kraninger, Elizabeth, Tech

EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER

yes

02/2021

Feb 26, 2021

Dec 1, 2023

THE TCW GROUP, INC.

SOLE MEMBER

yes

11/2012

Nov 28, 2012

Dec 1, 2023

VILLA, RICHARD, MANUEL

EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER

yes

07/2021

Nov 28, 2012

Dec 1, 2023

XIQUES, GLADYS

GLOBAL CHIEF COMPLIANCE OFFICER

yes

01/2021

Jan 8, 2021

Dec 1, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TCW ASSET MANAGEMENT COMPANY LLC

n/a

Other adviser

$81B

yes

n/a

METROPOLITAN WEST ASSET MANAGEMENT LLC

n/a

Asset manager

$79B

yes

n/a

TCW INVESTMENT MANAGEMENT COMPANY LLC

n/a

Asset manager

$39B

yes

n/a

BUCHANAN STREET PARTNERS, L.P.

n/a

Asset manager

$1.6B

yes

n/a

SEPULVEDA MANAGEMENT LLC

n/a

Asset manager

$355M

yes

n/a

TCW-WLA JV VENTURE LLC

n/a

Former SEC adviser

$1.0M

yes

n/a

BF IV ADVISORS, LP

n/a

yes

n/a

BF V ADVISORS, LLC

n/a

yes

n/a

BF VI ADVISORS, LLC

n/a

yes

n/a

BUCHANAN INVESTMENT ADVISORS, LLC

n/a

yes

n/a

NB REAL PROPERTY, L.P.

n/a

yes

n/a

P.T. BAHANA TCW INVESTMENT MANAGEMENT

n/a

yes

n/a

REGIMENT CAPITAL V GP, LP

n/a

yes

n/a

SEPULVEDA GP LLC

n/a

yes

n/a

TCW ASIA LIMITED

n/a

yes

n/a

TCW ASSET MANAGEMENT COMPANY INTERNATIONAL LIMITED

n/a

yes

n/a

TCW ASSET MANAGEMENT COMPANY TALF II LLC

n/a

yes

n/a

TCW AUSTRALIA PTY LTD

n/a

yes

n/a

TCW DLPF8 GP LLC

n/a

yes

n/a

TCW EUROPE LIMITED

n/a

yes

n/a

TCW FUNDS DISTRIBUTORS LLC

n/a

yes

n/a

TCW HIGH DIVIDEND GP, LLC

n/a

yes

n/a

TCW ITALY SIM S.P.A.

n/a

yes

n/a

TCW JAPAN, LTD.

n/a

yes

n/a

TCW LAMA GP LLC

n/a

yes

n/a

TCW MOF III GP, LLC

n/a

yes

n/a

TCW PRIVATE FUNDS MANAGEMENT LLC

n/a

yes

n/a

TCW RCS ARBITRAGE GP, LLC

n/a

yes

n/a

TCW RESCUE FINANCING GP LLC

n/a

yes

n/a

TCW SINGAPORE ASSET MANAGEMENT PTE. LTD.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

NEW YORK

United States

Chicago

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 29, 2023

$21.6M

2021

Mar 29, 2022

$18.8M

2020

Mar 29, 2021

$23.7M

$237M

2019

Mar 27, 2020

$64.2M

$62.2M

2018

Mar 28, 2019

$119M

2017

Mar 28, 2018

$198M

2016

Mar 30, 2017

$308M

n/a

$308M

2015

Mar 30, 2016

$532M

n/a

$532M

2014

Mar 31, 2015

$521M

n/a

$1.7B

2013

Mar 28, 2014

$1.7B

n/a

$1.7B

2012

Mar 27, 2013

$1.9B

$1.7B

n/a

$1.7B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$21.6M

$18.8M

15.0%

$64.2M

-30.5%