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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Jun 30, 2016 · 25 filings
SEC status approved since Jul 29, 2016
RAUM
$355M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$355M as of May 5, 2026
Mar 30, 2017$116M then
HNW client RAUM$0 as of Mar 27, 2020
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 30, 20170 then
Employees (5.A)8 as of May 5, 2026
Mar 30, 20178 then
Private funds3 as of May 5, 2026
Mar 30, 20171 then
RAUM +13% over the last fiscal year+0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 2026; 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
- $118MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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 securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$355M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• S•••••••• L••••••••• E••••• M••••• F•••• L••• | Hedge Fund | $188M | 31 | Mar 28, 2019 |
| T•• S•••••••• L••••••••• E••••• F••• I• L• | Hedge Fund | $110M | 80 | Mar 30, 2017 |
| T•• S•••••••• L••••••••• E••••• F••• I• L•no longer reported | Hedge Fund | $56.5M | 34 | Mar 28, 2018 |
| T•• S•••••••• F•••••• V•••• F•••• L• | Hedge Fund | $29.2M | 39 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• J••• · Executive Vice President And General Counselcontrolsince 05/2024 · owns less than 5%
- S•••••••• V••••••• M•••••• · Senior Vice Presidentcontrolsince 06/2016 · owns 10% to 25%
- V••••• R••••••• M••••• · Group Managing Director And Chief Financial Officercontrolsince 06/2016 · owns less than 5%
- W•••• D••••• C••••••• · Managing Directorcontrolsince 06/2016 · owns less than 5%
- X•••••• G••••• · Group Managing Director And Global Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Z••• J•••••• Q•••• · Managing Directorcontrolsince 06/2016 · owns 25% to 50%
- W••••••• J•••• A•••••• · Shareholdercontrolsince 01/2020 · owns 25% to 50% of W•••••• C••••••
- L•••• M•••••• K•••• · Senior Vice Presidentsince 12/2022 · owns 5% to 10%
Entity owners
- T•• A•••• M••••••••• C•••••• L•• · Shareholderdirect · owns 10% to 25%
- W•• C••••••• L•• · Status Memberdirect · owns 10% to 25%
- C•••••• A••••••••• C•••• · Shareholderindirect · owns 75% or more of T•• 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•• T•• G••••• I••• · Sole Memberindirect · owns 75% or more of Tcw Asset Management Company
- W•••••• C•••••• · Memberindirect · owns 75% or more of W•• C••••••• L••
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
- M••••••••• W••• A•••• M••••••••• L••investment adviserbanknRAUM $79B
- N• R••• P•••••••• L•••pooled vehicle sponsorn
- P••• B••••• T•• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- S•••••••• G• L••pooled vehicle sponsorn
- T•• A••• L••••••broker-dealern
- T•• A•••• M••••••••• C•••••• I••••••••• L••••••investment adviserpooled vehicle sponsorn
- T•• A•••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $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 S•••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Aug 4, 2025 to Mar 27, 2026
- Employees · 9 to 8Aug 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $315M to $355MAug 4, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $315M to $355MAug 4, 2025 to Mar 27, 2026
- RAUM · $315M to $355MAug 4, 2025 to Mar 27, 2026
- Advisory employees · 5 to 6Oct 10, 2024 to Mar 28, 2025
- Employees · 8 to 9Oct 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $327M to $315MOct 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $327M to $315MOct 10, 2024 to Mar 28, 2025
- RAUM · $327M to $315MOct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $352M to $327MDec 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $352M to $327MDec 1, 2023 to Mar 28, 2024
- RAUM · $352M to $327MDec 1, 2023 to Mar 28, 2024
- Employees · 9 to 8Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $306M to $352MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $306M to $352MMar 29, 2022 to Mar 29, 2023
- RAUM · $306M to $352MMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $238M to $306MMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $238M to $306MMar 29, 2021 to Mar 29, 2022
- RAUM · $238M to $306MMar 29, 2021 to Mar 29, 2022
- Advisory employees · 4 to 5Mar 2, 2021 to Mar 29, 2021
- BD registered reps · 3 to 2Mar 2, 2021 to Mar 29, 2021
- Employees · 8 to 9Mar 2, 2021 to Mar 29, 2021
- Discretionary RAUM · $228M to $238MMar 2, 2021 to Mar 29, 2021
- Pooled vehicle RAUM · $228M to $238MMar 2, 2021 to Mar 29, 2021
- RAUM · $228M to $238MMar 2, 2021 to Mar 29, 2021
- Charity clients · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Corporate clients · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- HNW clients · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Individual clients · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Pension plan clients · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- HNW RAUM · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Individual RAUM · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Pension RAUM · 0.0 to unsetMar 27, 2020 to Jan 8, 2021
- Accounts · 2 to 3Mar 28, 2019 to Mar 27, 2020
- Pooled vehicle clients · 2 to 3Mar 28, 2019 to Mar 27, 2020
- Private funds · 2 to 3Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $208M to $228MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $208M to $228MMar 28, 2019 to Mar 27, 2020
Signals
15 dated events
- John Andrew Bowden (Executive Vice President And General Counsel) appeared on Schedule A of S•••••••• M••••••••• L••May 22, 2024 · Control person joined · fact
- Ridings Laird Landmann (Manager) no longer on Schedule A of S•••••••• M••••••••• L•• (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 S•••••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Brian David Lippman (Manager) no longer on Schedule A of S•••••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Dean Eric W•••••• (Shareholder) no longer on Schedule A of S•••••••• M••••••••• L•• (listed 2021-03-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- J••• W•••••• (Shareholder) appeared on Schedule A of S•••••••• M••••••••• L••Mar 29, 2021 · Control person joined · fact
- T••• E•••••••• K•••••••• (Chief Operating Officer) no longer on Schedule A of S•••••••• M••••••••• L•• (listed 2021-02-26, absent 2021-03-02)Mar 2, 2021 · Control person left · inference
- Ridings Laird Landmann (Manager) appeared on Schedule A of S•••••••• M••••••••• L••Feb 26, 2021 · Control person joined · fact
- Irwin Marc Stern (Manager) appeared on Schedule A of S•••••••• M••••••••• L••Feb 26, 2021 · Control person joined · fact
- Brian David Lippman (Manager) appeared on Schedule A of S•••••••• M••••••••• L••Feb 26, 2021 · Control person joined · fact
- T••• E•••••••• K•••••••• (Chief Operating Officer) appeared on Schedule A of S•••••••• M••••••••• L••Feb 26, 2021 · Control person joined · fact
- Alan Jeffrey Engelsman (Global Chief Compliance Officer) no longer on Schedule A of S•••••••• M••••••••• L•• (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 S•••••••• M••••••••• L••Jan 8, 2021 · Control person joined · fact
- William Edward W•••••• (Shareholder) no longer on Schedule A of S•••••••• M••••••••• L•• (listed 2019-03-28, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- S•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2016 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/THETCWGROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TCW.COMreportedpublic record, Form ADV, Sep 18, 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