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

METROPOLITAN WEST CAPITAL MANAGEMENT, LLC

CRD 107469

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:9fa81af5-05e6-c12e-32c7-4b6f182890e4

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2012 to Mar 29, 2016
28 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: $8.4BItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.1B
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: 41
Advisory employees: 20
Accounts: 245
SEC number: 801-57001
CRD: 107469
Filings on the tape: 28
First filed: Jan 31, 2012
Latest filed: Mar 29, 2016
Organised: Limited Liability Company, California

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
INTERNATIONAL VALUE FUND, L.P.	Other Private Fund	$1.3M	Jan 31, 2012	3	Jan 31, 2012	dropped	021-65579
METWEST CAPITAL SMALL CAP INTRINSIC VALUE FUND, L.P.	Other Private Fund	$846,139	Jan 31, 2012	4	Jan 31, 2012	dropped	021-65580

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
BARANKO, FRANCIS, JON	DIRECTOR OF EQUITY	Na	yes	06/2013	Jun 24, 2013	Mar 29, 2016
FOY, SIOBHAN, C	CHIEF COMPLIANCE OFFICER	Na	yes	12/2014	Dec 16, 2014	Mar 29, 2016
HARTMAN, KIRK, DOUGLAS	PRESIDENT, CHIEF INVESTMENT OFFICER	Na	yes	06/2013	Jun 24, 2013	Mar 29, 2016
NORTON, KAREN	CHIEF OPERATIONS OFFICER	Na	yes	10/2014	Jun 24, 2013	Mar 29, 2016
SQUIRE, SALLIE, CLEMENTS	DIRECTOR, CHIEF ADMINISTRATIVE OFFICER	Na	yes	06/2013	Jun 24, 2013	Mar 29, 2016
WELLS FARGO & COMPANY	Shareholder	E	yes	09/1998	Jan 31, 2012	Mar 29, 2016
WELLS FARGO BANK, N.A.	DIRECT PARENT COMPANY, MANAGING MEMBER	E	yes	04/2010	Jan 31, 2012	Mar 29, 2016
WFC HOLDINGS CORPORATION	Shareholder	D	no	11/1998	Jan 31, 2012	Mar 29, 2016

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
WELLS CAPITAL MANAGEMENT INCORPORATED	n/a	Asset manager	$476B	N	yes	n/a
WELLS FARGO FUNDS MANAGEMENT, LLC	n/a	Asset manager	$325B	N	yes	n/a
WELLS FARGO ASSET MANAGEMENT LUXEMBOURG S.C.A.	n/a	n/a	n/a	N	yes	n/a
WELLS FARGO BANK, N.A.	n/a	n/a	n/a	Y	yes	Mn
WELLS FARGO FUNDS DISTRIBUTOR, LLC	n/a	n/a	n/a	N	yes	n/a

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	Mar 29, 2016	$8.4B	$8.1B	41	20	n/a	n/a	n/a
2014	Mar 25, 2015	$9.9B	$9.6B	42	20	n/a	n/a	n/a
2013	Mar 31, 2014	$12B	$11B	47	18	n/a	n/a	n/a
2012	Apr 1, 2013	$9.3B	$9.1B	45	19	n/a	n/a	n/a
2011	Mar 30, 2012	$8.5B	$8.3B	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	$8.4B	$9.9B	-15.1%	$9.3B	-3.3%	41	42	n/a	n/a

Relationships

Affiliated with (2)

→ ALLSPRING GLOBAL INVESTMENTS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (7)

← HARTMAN, KIRK, DOUGLASOwnerPRESIDENT, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← BARANKO, FRANCIS, JONOwnerDIRECTOR OF EQUITY, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← SQUIRE, SALLIE, CLEMENTSOwnerDIRECTOR, CHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← NORTON, KARENOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← FOY, SIOBHAN, COwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2014 to presentfactForm ADV
← WELLS FARGO & COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 31, 2012 to presentfactForm ADV
← WELLS FARGO BANK, N.A.OwnerDIRECT PARENT COMPANY, MANAGING MEMBER, ownership code E, domestic entity
Jan 31, 2012 to presentfactForm ADV

Owns (1)

← WFC HOLDINGS CORPORATIONOwnerSHAREHOLDER, ownership code D, domestic entity
Jan 31, 2012 to presentfactForm ADV

Advises (2)

→ INTERNATIONAL VALUE FUND, L.P.Private fundOther Private Fund, IA, no longer reported
Jan 31, 2012 to Jan 31, 2012factForm ADV
→ METWEST CAPITAL SMALL CAP INTRINSIC VALUE FUND, L.P.Private fundOther Private Fund, IA, no longer reported
Jan 31, 2012 to Jan 31, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9fa81af5-05e6-c12e-32c7-4b6f182890e4
First observed: Jan 31, 2012
Last observed: Mar 29, 2016 127 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.

METROPOLITAN WEST CAPITAL MANAGEMENT, LLC

CRD 107469

NEWPORT BEACH, 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:9fa81af5-05e6-c12e-32c7-4b6f182890e4

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:34 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

INTERNATIONAL VALUE FUND, L.P.

Other Private Fund

$1.3M

Jan 31, 2012

dropped

021-65579

METWEST CAPITAL SMALL CAP INTRINSIC VALUE FUND, L.P.

Other Private Fund

$846,139

Jan 31, 2012

dropped

021-65580

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARANKO, FRANCIS, JON

DIRECTOR OF EQUITY

yes

06/2013

Jun 24, 2013

Mar 29, 2016

FOY, SIOBHAN, C

CHIEF COMPLIANCE OFFICER

yes

12/2014

Dec 16, 2014

Mar 29, 2016

HARTMAN, KIRK, DOUGLAS

PRESIDENT, CHIEF INVESTMENT OFFICER

yes

06/2013

Jun 24, 2013

Mar 29, 2016

NORTON, KAREN

CHIEF OPERATIONS OFFICER

yes

10/2014

Jun 24, 2013

Mar 29, 2016

SQUIRE, SALLIE, CLEMENTS

DIRECTOR, CHIEF ADMINISTRATIVE OFFICER

yes

06/2013

Jun 24, 2013

Mar 29, 2016

WELLS FARGO & COMPANY

Shareholder

yes

09/1998

Jan 31, 2012

Mar 29, 2016

WELLS FARGO BANK, N.A.

DIRECT PARENT COMPANY, MANAGING MEMBER

yes

04/2010

Jan 31, 2012

Mar 29, 2016

WFC HOLDINGS CORPORATION

Shareholder

11/1998

Jan 31, 2012

Mar 29, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WELLS CAPITAL MANAGEMENT INCORPORATED

n/a

Asset manager

$476B

yes

n/a

WELLS FARGO FUNDS MANAGEMENT, LLC

n/a

Asset manager

$325B

yes

n/a

WELLS FARGO ASSET MANAGEMENT LUXEMBOURG S.C.A.

n/a

yes

n/a

WELLS FARGO BANK, N.A.

n/a

yes

WELLS FARGO FUNDS DISTRIBUTOR, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$8.4B

$8.1B

n/a

2014

Mar 25, 2015

$9.9B

$9.6B

n/a

2013

Mar 31, 2014

$12B

$11B

n/a

2012

Apr 1, 2013

$9.3B

$9.1B

n/a

2011

Mar 30, 2012

$8.5B

$8.3B

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

$8.4B

$9.9B

-15.1%

$9.3B

-3.3%

n/a