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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC

CRD 114649

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:d2cbf405-af26-0242-8e23-8e8d66b9a205

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Mar 30, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=0.8 institutional_share=0.2 related_bd=false related_bank=false bd_reps=12.0
Regulatory AUM: $37BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $37B
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: 64
Advisory employees: 32
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 103
Individual clients: 0
High net worth clients: 0
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $424M
SEC number: 801-60512
CIK: 1164833
CRD: 114649
Filings on the tape: 28
First filed: Mar 28, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE

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
HW HIGH YIELD, LLC	Hedge Fund	$318M	Nov 29, 2024	6	Mar 30, 2021	reported	021-372612
HW HEDGED VALUE, L.P.	Hedge Fund	$82.8M	Nov 29, 2024	7	Mar 28, 2014	reported	021-206902

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
DAVIS, GEORGE, HOLMES	EXECUTIVE COMMITTEE MEMBER	F	yes	08/2001	Mar 28, 2012	Nov 29, 2024
DAVIS, GEORGE, HOLMES	EXECUTIVE CHAIRMAN AND EXECUTIVE COMMITTEE MEMBER	Na	yes	08/2001	Mar 28, 2012	Nov 29, 2024
HIRSCHMANN, THOMAS, JOHN	HEAD OF DISTRIBUTION	Na	yes	11/2018	Mar 30, 2021	Nov 29, 2024
HWCAP HOLDINGS, LLC	Member	D	yes	08/2001	Mar 28, 2012	Nov 29, 2024
KODAMA, TINA, HIDEKO	CHIEF COMPLIANCE OFFICER	Na	yes	04/2007	Mar 28, 2012	Nov 29, 2024
LOPEZ, ANNA MARIE, SINIO	EXECUTIVE COMMITTEE MEMBER	F	yes	10/2024	Mar 28, 2012	Nov 29, 2024
LOPEZ, ANNA MARIE, SINIO	CHIEF OPERATING OFFICER AND EXECUTIVE COMMITTEE MEMBER	Na	yes	08/2001	Mar 28, 2012	Nov 29, 2024
MARTIN, DOUGLAS, HOWARD	EXECUTIVE COMMITTEE MEMBER	Na	yes	09/2003	Mar 28, 2012	Nov 29, 2024
MCBRIDE, SCOTT, HOY	CHIEF EXECUTIVE OFFICER AND EXECUTIVE COMMITTEE MEMBER	Na	yes	01/2016	Mar 30, 2016	Nov 29, 2024
MCBRIDE, SCOTT, HOY	EXECUTIVE COMMITTEE MEMBER	F	yes	10/2016	Mar 30, 2016	Nov 29, 2024
MENVIELLE, JAMES, EDWARD	CHIEF FINANCIAL OFFICER	Na	yes	05/2006	Mar 28, 2012	Nov 29, 2024
SF HOLDING CORP. (FORMERLY STEPHENS GROUP, INC.)	Member	E	yes	08/2001	Mar 28, 2012	Nov 29, 2024
STEPHENS-H&W, LLC	Member	C	yes	08/2001	Mar 28, 2012	Nov 29, 2024
STEPHENS, WARREN MILES, AMERINE	EXECUTIVE COMMITTEE MEMBER	Na	yes	10/2022	Mar 29, 2023	Nov 29, 2024
STEPHENS, WARREN, AMERINE	Trustee	F	yes	09/1987	Mar 28, 2013	Nov 29, 2024
WARREN A. STEPHENS TRUST UID 9/30/1987	Shareholder	C	yes	10/2001	Mar 28, 2013	Nov 29, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CORONA DEL MAR	CA	United States	4	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
2025	Mar 30, 2026	$37B	$37B	64	32	5	2	n/a
2024	Mar 28, 2025	$33B	$33B	63	31	4	2	n/a
2023	Mar 27, 2024	$31B	$31B	64	31	1	2	$401M
2022	Mar 29, 2023	$28B	$28B	62	30	1	2	$317M
2021	Mar 29, 2022	$35B	$35B	61	29	1	2	$353M
2020	Mar 30, 2021	$32B	$32B	59	28	1	2	$619M
2019	Mar 31, 2020	$34B	$34B	59	28	1	1	$85.0M
2018	Mar 29, 2019	$28B	$28B	60	29	1	1	$78.0M
2017	Mar 29, 2018	$33B	$32B	58	28	1	1	$63.0M
2016	Mar 31, 2017	$30B	$30B	56	27	n/a	1	$63.0M
2015	Mar 30, 2016	$28B	$28B	56	26	n/a	1	$48.0M
2014	Mar 27, 2015	$32B	$32B	56	26	n/a	1	$51.0M
2013	Mar 28, 2014	$26B	$26B	55	27	n/a	1	$36.0M
2012	Mar 28, 2013	$19B	$19B	54	27	n/a	n/a	n/a
2011	Mar 28, 2012	$16B	$16B	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
2025	$37B	$33B	11.3%	$28B	9.2%	64	63	5	4

Relationships

Advises (2)

→ HW HEDGED VALUE, L.P.Private fundHedge Fund, IA
Mar 28, 2014 to presentfactForm ADV
→ HW HIGH YIELD, LLCPrivate fundHedge Fund, IA
Mar 30, 2021 to presentfactForm ADV

Controls (13)

← STEPHENS, WARREN, AMERINEOwnerTRUSTEE, ownership code F, individual
Mar 28, 2013 to Nov 29, 2024factForm ADV
← MCBRIDE, SCOTT, HOYOwnerEXECUTIVE COMMITTEE MEMBER, ownership code F, individual
Mar 30, 2016 to Nov 29, 2024factForm ADV
← DAVIS, GEORGE, HOLMESOwnerEXECUTIVE COMMITTEE MEMBER, ownership code F, individual
Mar 28, 2012 to Nov 29, 2024factForm ADV
← HIRSCHMANN, THOMAS, JOHNOwnerHEAD OF DISTRIBUTION, ownership code NA, individual
Mar 30, 2021 to Nov 29, 2024factForm ADV
← KODAMA, TINA, HIDEKOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to Nov 29, 2024factForm ADV
← LOPEZ, ANNA MARIE, SINIOOwnerEXECUTIVE COMMITTEE MEMBER, ownership code F, individual
Mar 28, 2012 to Nov 29, 2024factForm ADV
← MENVIELLE, JAMES, EDWARDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2012 to Nov 29, 2024factForm ADV
← STEPHENS, WARREN MILES, AMERINEOwnerEXECUTIVE COMMITTEE MEMBER, ownership code NA, individual
Mar 29, 2023 to Nov 29, 2024factForm ADV
← MARTIN, DOUGLAS, HOWARDOwnerEXECUTIVE COMMITTEE MEMBER, ownership code NA, individual
Mar 28, 2012 to Nov 29, 2024factForm ADV
← HWCAP HOLDINGS, LLCOwnerMEMBER, ownership code D, domestic entity
Mar 28, 2012 to Nov 29, 2024factForm ADV
← SF HOLDING CORP. (FORMERLY STEPHENS GROUP, INC.)OwnerMEMBER, ownership code E, domestic entity
Mar 28, 2012 to Nov 29, 2024factForm ADV
← STEPHENS-H&W, LLCOwnerMEMBER, ownership code C, domestic entity
Mar 28, 2012 to Nov 29, 2024factForm ADV
← WARREN A. STEPHENS TRUST UID 9/30/1987OwnerSHAREHOLDER, ownership code C, domestic entity
Mar 28, 2013 to Nov 29, 2024factForm ADV

Dated events

Occurred
Nov 29, 2024
Control person left
Nigel Christopher Hurst-Brown (Executive Committee Member) no longer on Schedule A of Hotchkis And Wiley Capital Management, Llc (listed 2024-10-25, absent 2024-11-29)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2023
Control person joined
Amerine Warren Miles Stephens (Executive Committee Member) appeared on Schedule A of Hotchkis And Wiley Capital Management, Llc
Form ADVobserved 6 days ago
Occurred
Mar 29, 2022
Control person left
C Harriet Stephens (Trustee) no longer on Schedule A of Hotchkis And Wiley Capital Management, Llc (listed 2021-10-01, absent 2022-03-29)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person joined
John Thomas Hirschmann (Head Of Distribution) appeared on Schedule A of Hotchkis And Wiley Capital Management, Llc
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2cbf405-af26-0242-8e23-8e8d66b9a205
First observed: Mar 28, 2012
Last observed: Mar 30, 2026 5 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.

HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC

CRD 114649

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:d2cbf405-af26-0242-8e23-8e8d66b9a205

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HW HIGH YIELD, LLC

Hedge Fund

$318M

Nov 29, 2024

Mar 30, 2021

reported

021-372612

HW HEDGED VALUE, L.P.

Hedge Fund

$82.8M

Nov 29, 2024

Mar 28, 2014

reported

021-206902

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAVIS, GEORGE, HOLMES

EXECUTIVE COMMITTEE MEMBER

yes

08/2001

Mar 28, 2012

Nov 29, 2024

DAVIS, GEORGE, HOLMES

EXECUTIVE CHAIRMAN AND EXECUTIVE COMMITTEE MEMBER

yes

08/2001

Mar 28, 2012

Nov 29, 2024

HIRSCHMANN, THOMAS, JOHN

HEAD OF DISTRIBUTION

yes

11/2018

Mar 30, 2021

Nov 29, 2024

HWCAP HOLDINGS, LLC

Member

yes

08/2001

Mar 28, 2012

Nov 29, 2024

KODAMA, TINA, HIDEKO

CHIEF COMPLIANCE OFFICER

yes

04/2007

Mar 28, 2012

Nov 29, 2024

LOPEZ, ANNA MARIE, SINIO

EXECUTIVE COMMITTEE MEMBER

yes

10/2024

Mar 28, 2012

Nov 29, 2024

LOPEZ, ANNA MARIE, SINIO

CHIEF OPERATING OFFICER AND EXECUTIVE COMMITTEE MEMBER

yes

08/2001

Mar 28, 2012

Nov 29, 2024

MARTIN, DOUGLAS, HOWARD

EXECUTIVE COMMITTEE MEMBER

yes

09/2003

Mar 28, 2012

Nov 29, 2024

MCBRIDE, SCOTT, HOY

CHIEF EXECUTIVE OFFICER AND EXECUTIVE COMMITTEE MEMBER

yes

01/2016

Mar 30, 2016

Nov 29, 2024

MCBRIDE, SCOTT, HOY

EXECUTIVE COMMITTEE MEMBER

yes

10/2016

Mar 30, 2016

Nov 29, 2024

MENVIELLE, JAMES, EDWARD

CHIEF FINANCIAL OFFICER

yes

05/2006

Mar 28, 2012

Nov 29, 2024

SF HOLDING CORP. (FORMERLY STEPHENS GROUP, INC.)

Member

yes

08/2001

Mar 28, 2012

Nov 29, 2024

STEPHENS-H&W, LLC

Member

yes

08/2001

Mar 28, 2012

Nov 29, 2024

STEPHENS, WARREN MILES, AMERINE

EXECUTIVE COMMITTEE MEMBER

yes

10/2022

Mar 29, 2023

Nov 29, 2024

STEPHENS, WARREN, AMERINE

Trustee

yes

09/1987

Mar 28, 2013

Nov 29, 2024

WARREN A. STEPHENS TRUST UID 9/30/1987

Shareholder

yes

10/2001

Mar 28, 2013

Nov 29, 2024

City

State

Country

Employees

Also broker-dealer

CORONA DEL MAR

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$37B

n/a

2024

Mar 28, 2025

$33B

n/a

2023

Mar 27, 2024

$31B

$401M

2022

Mar 29, 2023

$28B

$317M

2021

Mar 29, 2022

$35B

$353M

2020

Mar 30, 2021

$32B

$619M

2019

Mar 31, 2020

$34B

$85.0M

2018

Mar 29, 2019

$28B

$78.0M

2017

Mar 29, 2018

$33B

$32B

$63.0M

2016

Mar 31, 2017

$30B

n/a

$63.0M

2015

Mar 30, 2016

$28B

n/a

$48.0M

2014

Mar 27, 2015

$32B

n/a

$51.0M

2013

Mar 28, 2014

$26B

n/a

$36.0M

2012

Mar 28, 2013

$19B

n/a

2011

Mar 28, 2012

$16B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$37B

$33B

11.3%

$28B

9.2%