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.
Former SEC-registered adviser
Tcw Special Situations, LLC
Latest filing Dec 1, 2023
First filing on the tape Nov 28, 2012 · 22 filings
RAUM
$21.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
12 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$21.6M gross assets
History
22 filings and snapshots on the tape
RAUM$21.6M as of Mar 29, 2023
Mar 27, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 27, 20130 then
Employees (5.A)24 as of Mar 29, 2023
Mar 27, 201324 then
Private funds1 as of Mar 29, 2023
Mar 27, 20131 then
RAUM +15% over the last fiscal year-30% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Dec 1, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $21.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$21.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Special Situations Fund III, LPno longer reported | Hedge Fund | $36.5M | 49 | Feb 10, 2012 |
| Regiment Capital Special Situations Fund V, LP | Hedge Fund | $21.6M | 141 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- John Andrew Bowden · Executive Vice President, General Counsel And Secretarycontrolsince 09/2023 · owns less than 5%
- Agnes Kathryn Koch · President And Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- Tech Elizabeth Kraninger · Executive Vice President, Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- Manuel Richard Villa · Executive Vice President, Chief Financial Officercontrolsince 07/2021 · owns less than 5%
- Gladys Xiques · Global Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- The Tcw Group, Inc. · Sole Memberdirect · owns 75% or more
- Clipper Acquisitions Corp. · Shareholderindirect · owns 75% or more of The Tcw Group, Inc.
- Clipper Gp, L.L.C. · General Partnerindirect · owns F of Clipper Holding, L.P.
- Clipper Holding, L.P. · Shareholderindirect · owns 75% or more of Clipper Intermediate Corp.
- Clipper Intermediate Corp. · Shareholderindirect · owns 75% or more of Clipper Acquisitions Corp.
Related persons
Schedule D 7.A
- Bf IV Advisors, LPpooled vehicle sponsorn
- Bf V Advisors, LLCpooled vehicle sponsorn
- Bf Vi Advisors, LLCpooled vehicle sponsorn
- Buchanan Investment Advisors, LLCpooled vehicle sponsorn
- Buchanan Street Partners, L.P.investment adviserinvestment companypooled vehicle sponsornRAUM $1.6B
- Metropolitan West Asset Management LLCinvestment adviserbanknRAUM $79B
- Nb Real Property, L.P.pooled vehicle sponsorn
- P.T. Bahana Tcw Investment Managementinvestment adviserpooled vehicle sponsorn
- Regiment Capital V Gp, LPpooled vehicle sponsory
- Sepulveda Gp LLCpooled vehicle sponsorn
- Sepulveda Management LLCinvestment advisernRAUM $355M
- Tcw Asia Limitedbroker-dealern
- Tcw Asset Management Company International Limitedinvestment adviserpooled vehicle sponsorn
- Tcw Asset Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $81B
- Tcw Asset Management Company Talf II LLCinvestment advisern
- Tcw Australia Pty Ltdinvestment advisern
- Tcw Dlpf8 Gp LLCpooled vehicle sponsorn
- Tcw Europe Limitedinvestment advisern
- Tcw Funds Distributors LLCbroker-dealern
- Tcw High Dividend Gp, LLCpooled vehicle sponsorn
- Tcw Investment Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $39B
- Tcw Italy Sim S.P.A.investment advisern
- Tcw Japan, Ltd.investment advisern
- Tcw Lama Gp LLCpooled vehicle sponsorn
- Tcw Mof III Gp, LLCpooled vehicle sponsorn
- Tcw Private Funds Management LLCpooled vehicle sponsorn
- Tcw Rcs Arbitrage Gp, LLCpooled vehicle sponsorn
- Tcw Rescue Financing Gp LLCpooled vehicle sponsorn
- Tcw Singapore Asset Management Pte. Ltd.investment advisern
- Tcw-Wla Jv Venture LLCinvestment advisernRAUM $1.0M
Advisers that list Tcw Special Situations, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
- Boston, MA6 employees
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- BD registered reps · 5 to 3Mar 29, 2022 to Mar 29, 2023
- Employees · 26 to 24Mar 29, 2022 to Mar 29, 2023
- Insurance-licensed employees · 1 to 0Mar 29, 2022 to Mar 29, 2023
- State-registered IARs · 1 to 0Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $18.8M to $21.6MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $18.8M to $21.6MMar 29, 2022 to Mar 29, 2023
- RAUM · $18.8M to $21.6MMar 29, 2022 to Mar 29, 2023
- Advisory employees · 11 to 12Mar 29, 2021 to Mar 29, 2022
- BD registered reps · 4 to 5Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $23.7M to $18.8MMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $23.7M to $18.8MMar 29, 2021 to Mar 29, 2022
- RAUM · $23.7M to $18.8MMar 29, 2021 to Mar 29, 2022
- Advisory employees · 12 to 11Feb 26, 2021 to Mar 29, 2021
- BD registered reps · 6 to 4Feb 26, 2021 to Mar 29, 2021
- Employees · 28 to 26Feb 26, 2021 to Mar 29, 2021
- State-registered IARs · 0 to 1Feb 26, 2021 to Mar 29, 2021
- Discretionary RAUM · $64.2M to $23.7MFeb 26, 2021 to Mar 29, 2021
- Pooled vehicle RAUM · $64.2M to $23.7MFeb 26, 2021 to Mar 29, 2021
- RAUM · $64.2M to $23.7MFeb 26, 2021 to Mar 29, 2021
- Advisory employees · 15 to 12Mar 28, 2019 to Mar 27, 2020
- BD registered reps · 8 to 6Mar 28, 2019 to Mar 27, 2020
- Employees · 32 to 28Mar 28, 2019 to Mar 27, 2020
- Insurance-licensed employees · 0 to 1Mar 28, 2019 to Mar 27, 2020
- Other offices · 4 to 3Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $119M to $64.2MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $119M to $64.2MMar 28, 2019 to Mar 27, 2020
- RAUM · $119M to $64.2MMar 28, 2019 to Mar 27, 2020
- Employees · 35 to 32Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $198M to $119MMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $198M to $119MMar 28, 2018 to Mar 28, 2019
- RAUM · $198M to $119MMar 28, 2018 to Mar 28, 2019
- Accounts · 2 to 1Feb 5, 2018 to Mar 28, 2018
- Advisory employees · 13 to 15Feb 5, 2018 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Feb 5, 2018 to Mar 28, 2018
- Employees · 37 to 35Feb 5, 2018 to Mar 28, 2018
- Other offices · 3 to 4Feb 5, 2018 to Mar 28, 2018
- Private funds · 2 to 1Feb 5, 2018 to Mar 28, 2018
- Discretionary RAUM · $308M to $198MFeb 5, 2018 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 198188313.0Feb 5, 2018 to Mar 28, 2018
- RAUM · $308M to $198MFeb 5, 2018 to Mar 28, 2018
Signals
14 dated events
- John Andrew Bowden (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Tcw Special Situations, LlcOct 2, 2023 · Control person joined · fact
- 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)Oct 2, 2023 · Control person left · inference
- 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)Mar 29, 2023 · Control person left · inference
- Ridings Laird Landmann (Manager) no longer on Schedule A of Tcw Special Situations, Llc (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Irwin Marc Stern (Manager) no longer on Schedule A of Tcw Special Situations, Llc (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Agnes Kathryn Koch (President And Chief Executive Officer) appeared on Schedule A of Tcw Special Situations, LlcMar 29, 2023 · Control person joined · fact
- Tech Elizabeth Kraninger (Chief Operating Officer) appeared on Schedule A of Tcw Special Situations, LlcFeb 26, 2021 · Control person joined · fact
- Ridings Laird Landmann (Manager) appeared on Schedule A of Tcw Special Situations, LlcFeb 26, 2021 · Control person joined · fact
- Irwin Marc Stern (Manager) appeared on Schedule A of Tcw Special Situations, LlcFeb 26, 2021 · Control person joined · fact
- 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)Jan 8, 2021 · Control person left · inference
- 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)Jan 8, 2021 · Control person left · inference
- Gladys Xiques (Global Chief Compliance Officer) appeared on Schedule A of Tcw Special Situations, LlcJan 8, 2021 · Control person joined · fact
- Tcw Special Situations, Llc reported RAUM $198.2M, down 36% from $307.6M (2018-02-05 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- Tcw Direct Lending Group, Llc filed its initial SEC registration (Form ADV)Nov 28, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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