DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
M••••••••• W••• A•••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since Nov 29, 1996
RAUM
$79B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$69.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
377
86 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$79B as of May 5, 2026
Mar 30, 2012$42B then
HNW client RAUM$69.4M as of May 5, 2026
Mar 28, 2018$111M then
State-registered IARs (5.B.3)20 as of May 5, 2026
Mar 28, 20132 then
Employees (5.A)377 as of May 5, 2026
Mar 28, 2013269 then
Private funds1 as of Mar 30, 2015
Mar 30, 20124 then
RAUM -4.8% over the last fiscal year-10% a year over threeIARs 19 to 20
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $3.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 0derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $69.4MderivedHNW RAUM over HNW clients
- Average account
- $734MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 18.9derivedItem 5.A over advisors
- Advisors per office
- 6.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$55B70%
- Pooled investment vehicles$8.5B11%
- State and municipal entities$6.5B8.2%
- Charitable organizations$4.7B5.9%
- Insurance companies$1.9B2.5%
- Corporations and businesses$1.9B2.4%
- Sovereign wealth funds$287M0.4%
- High-net-worth individuals$69.4M0.1%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 13reported
- Accounts
- 107reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $81.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.81 institutional_share=0.17 related_bd=true related_bank=true bd_reps=78.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S•••• N••••• B•••• to R•• S••••••••• I•••Aug 6, 2012 · Other
Joined, latest
- S•••• N••••• B•••• from A••••••••• S••••••••• C••••Dec 22, 2009 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• E••••••• T••• S••••••• F•••• L•••no longer reported | Hedge Fund | $253M | 50 | Mar 30, 2012 |
| S••••• V••••••• 2•••••• L••••no longer reported | Securitized Asset Fund | $48.6M | 0 | Mar 30, 2012 |
| M••• O••••••••• M••••• F••• B••••no longer reported | Private Equity Fund | $35.1M | 5 | Mar 30, 2012 |
| M••• C•• 2•••••• L••••no longer reported | Securitized Asset Fund | $26.0M | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• J••• · Executive Vice President, General Counsel, Secretary, Elected Managercontrolsince 09/2023 · owns less than 5%
- K•••• K••••••• A•••• · Chief Executive Officer, Elected Managercontrolsince 02/2023 · owns less than 5%
- S••••• M•••• I•••• · Chairman, Elected Managercontrolsince 02/2013 · owns less than 5%
- S•••••• M••••••• L••• · Executive Vice President, Chief Operating Officer, Elected Managercontrolsince 03/2024 · owns less than 5%
- V••••• R••••••• M••••• · Executive Vice President, Chief Financial Officer, Elected Managercontrolsince 07/2021 · owns less than 5%
- W•••••• B••••• T••••• · Chief Investment Officer, Group Managing Director, Elected Managercontrolsince 01/2024 · owns less than 5%
- X•••••• G••••• · Global Chief Compliance Officer, Elected Managercontrolsince 01/2021 · owns less than 5%
Entity owners
- T•• A•••• M••••••••• C•••••• L•• · Memberdirect · owns 75% or more
- C•••••• A••••••••• C•••• · Shareholderindirect · owns 75% or more of The T•• G••••• I•••
- C•••••• G•• L••••• · General Partnerindirect · owns F of C•••••• H••••••• L•••
- C•••••• H••••••• L••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• C••••
- C•••••• I••••••••• C•••• · Shareholderindirect · owns 75% or more of C•••••• A••••••••• C••••
- N••••• L••• A•••••••• I••• · Shareholderindirect · owns 25% to 50% of C•••••• H••••••• L•••
- N••••• L••• I•••••••• C•••••• · Shareholderindirect · owns 75% or more of N••••• L••• A•••••••• I•••
- T•• G••••• I••• · Shareholderindirect · owns 75% or more of Tcw Asset Management Co
Related persons
Schedule D 7.A
- B• I• A•••••••• L•pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B••••••• I••••••••• A•••••••• L••pooled vehicle sponsorn
- B••••••• S••••• P•••••••• L•••investment adviserinvestment companypooled vehicle sponsornRAUM $1.6B
- N• R••• P•••••••• L•••pooled vehicle sponsorn
- P••• B••••• T•• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- S•••••••• G• L••pooled vehicle sponsorn
- S•••••••• M••••••••• L••investment advisernRAUM $355M
- T•• A••• L••••••broker-dealern
- T•• A•••• M••••••••• C•••••• I••••••••• L••••••investment adviserpooled vehicle sponsorn
- T•• A•••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $81B
- T•• A•••••••• P•• L••investment advisern
- T•• D•••• G• L••pooled vehicle sponsorn
- T•• E••••• L••••••investment advisern
- T•• F•••• D••••••••• L••broker-dealern
- T•• I••••••••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $39B
- T•• I•••• S•• S•••••investment advisern
- T•• J••••• L•••investment advisern
- T•• L••• G• L••pooled vehicle sponsorn
- T•• M••••• N•••••• G•• L••pooled vehicle sponsorn
- T•• M•• I•• G•• L••pooled vehicle sponsorn
- T•• P•••••• F•••• M••••••••• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• G• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• I• G• L••pooled vehicle sponsorn
- T•• S•••••••• A•••• M••••••••• P••• L•••investment advisern
Advisers that list M••••••••• W••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- London, United Kingdom1 employees
What changed
consecutive filings, newest first
- Accounts · 131 to 107Jan 9, 2026 to Mar 27, 2026
- Advisory employees · 77 to 86Jan 9, 2026 to Mar 27, 2026
- BD registered reps · 74 to 78Jan 9, 2026 to Mar 27, 2026
- Charity clients · 18 to 13Jan 9, 2026 to Mar 27, 2026
- Corporate clients · 5 to 4Jan 9, 2026 to Mar 27, 2026
- Pension plan clients · 39 to 0Jan 9, 2026 to Mar 27, 2026
- Pooled vehicle clients · 2 to 40Jan 9, 2026 to Mar 27, 2026
- Employees · 370 to 377Jan 9, 2026 to Mar 27, 2026
- Insurance-licensed employees · 18 to 19Jan 9, 2026 to Mar 27, 2026
- State-registered IARs · 19 to 20Jan 9, 2026 to Mar 27, 2026
- Discretionary RAUM · $83B to $79BJan 9, 2026 to Mar 27, 2026
- HNW RAUM · $72.0M to $69.4MJan 9, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $3.9M to $202,597Jan 9, 2026 to Mar 27, 2026
- Pension RAUM · $6.4B to $0Jan 9, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $597M to $8.5BJan 9, 2026 to Mar 27, 2026
- RAUM · $83B to $79BJan 9, 2026 to Mar 27, 2026
- Wrap assets (manager) · $76.5M to $81.7MJan 9, 2026 to Mar 27, 2026
- Accounts · 146 to 131Oct 10, 2024 to Mar 28, 2025
- Advisory employees · 68 to 77Oct 10, 2024 to Mar 28, 2025
- BD registered reps · 64 to 74Oct 10, 2024 to Mar 28, 2025
- Charity clients · 25 to 18Oct 10, 2024 to Mar 28, 2025
- Pension plan clients · 45 to 39Oct 10, 2024 to Mar 28, 2025
- Employees · 348 to 370Oct 10, 2024 to Mar 28, 2025
- Insurance-licensed employees · 16 to 18Oct 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 10, 2024 to Mar 28, 2025
- State-registered IARs · 17 to 19Oct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $103B to $83BOct 10, 2024 to Mar 28, 2025
- HNW RAUM · $71.2M to $72.0MOct 10, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.0M to $3.9MOct 10, 2024 to Mar 28, 2025
- Pension RAUM · $7.3B to $6.4BOct 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $634M to $597MOct 10, 2024 to Mar 28, 2025
- RAUM · $103B to $83BOct 10, 2024 to Mar 28, 2025
- Wrap assets (manager) · $75.1M to $76.5MOct 10, 2024 to Mar 28, 2025
- Accounts · 154 to 146Jan 24, 2024 to Mar 28, 2024
- Advisory employees · 91 to 68Jan 24, 2024 to Mar 28, 2024
- BD registered reps · 80 to 64Jan 24, 2024 to Mar 28, 2024
- Charity clients · 27 to 25Jan 24, 2024 to Mar 28, 2024
- Pension plan clients · 52 to 45Jan 24, 2024 to Mar 28, 2024
- Employees · 361 to 348Jan 24, 2024 to Mar 28, 2024
- Insurance-licensed employees · 17 to 16Jan 24, 2024 to Mar 28, 2024
Signals
17 dated events
- T••• E•••••••• K•••••••• (Executive Vice President, Global Chief Operating Officer, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2024-01-24, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- L Melissa Stolfi (Executive Vice President, Chief Operating Officer, Elected Manager) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Ridings Laird Landmann (President, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2023-12-01, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- Michael Stephen Kane (Co-Chief Investment Officer, Group Managing Director, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2023-12-01, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- Meredith Jackson (Executive Vice President, General Counsel, Secretary, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2023-06-26, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- John Andrew Bowden (Executive Vice President, General Counsel, Secretary, Elected Manager) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Oct 2, 2023 · Control person joined · fact
- M••••••••• W••• A•••• M••••••••• L•• reported 18 state-registered advisory representatives, up from 2 (2022-03-29 to 2023-03-29)Mar 29, 2023 · Advisor headcount change · derived
- Agnes Kathryn Koch (Chief Executive Officer, Elected Manager) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- Brian David Lippman (Chief Executive Officer, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- M••••••••• W••• A•••• M••••••••• L•• reported 2 state-registered advisory representatives, down from 16 (2022-01-12 to 2022-03-29)Mar 29, 2022 · Advisor headcount change · derived
- Tad Rivelle (Chief Investment Officer, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-01-12)Jan 12, 2022 · Control person left · inference
- Thomas Bryan Whalen (Co-Chief Investment Officer, Group Managing Director, Elected Manager) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Jan 12, 2022 · Control person joined · fact
- Michael Stephen Kane (Co-Chief Investment Officer, Group Managing Director, Elected Manager) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Jan 12, 2022 · Control person joined · fact
- T••• E•••••••• K•••••••• (Chief Operating Officer) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Feb 26, 2021 · Control person joined · fact
- Stephen David Devito (Executive Vice President, Chief Operating Officer, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2020-05-26, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- Alan Jeffrey Engelsman (Global Chief Compliance Officer, Elected Manager) no longer on Schedule A of M••••••••• W••• A•••• M••••••••• L•• (listed 2020-05-26, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- Gladys Xiques (Global Chief Compliance Officer) appeared on Schedule A of M••••••••• W••• A•••• M••••••••• L••Jan 8, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- M••••••••• W••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/thetcwgroupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.t••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 213-244-0000reportedpublic record, Form ADV, May 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026