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 Distressed Management Co, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 284340SEC 801-108098IAPD
Latest filing Jun 30, 2016
First filing on the tape Jun 30, 2016 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 12
Private funds: no history
Practice profile
derived from the filing of Jun 30, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
12.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
a PE fund or sponsor is a 25 percent or greater owner 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Stephen David Devito · Executive Vice President And Chief Operating Officercontrol
        since 06/2016 · owns less than 5%
      • Alan Jeffrey Engelsman · Global Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • Meredith Jackson · Executive Vice President, General Counsel And Secretarycontrol
        since 06/2016 · owns less than 5%
      • Brian David Lippman · President And Chief Executive Officercontrol
        since 06/2016 · owns less than 5%
      • Irwin Marc Stern · Chairmancontrol
        since 06/2016 · owns less than 5%
      • Ann Sara Tirschwell · Portfolio Managercontrol
        since 06/2016 · owns 50% to 75%
      • Manuel Richard Villa · Chief Financial Officer And Assistant Secretarycontrol
        since 06/2016 · owns less than 5%
      • Elias William Conway · Non-Voting Membercontrol
        since 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
      • Anthony Daniel D'Aniello · Non-Voting Membercontrol
        since 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
      • Mark David Rubenstein · Non-Voting Membercontrol
        since 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
      Entity owners
      • The Tcw Group, Inc. · Sole Member
        direct · owns 25% to 50%
      • Carlyle Financial Services Harbor, L.P. · Limited Partner
        indirect · owns 25% to 50% of Clipper Holding, L.P.
      • Carlyle Financial Services Holdings, Ltd. · General Partner
        indirect · owns F of Tcg Financial Services Investment Holdings, L.P.
      • Carlyle Financial Services, Ltd. · General Partner
        indirect · owns F of Tcg Financial Services, L.P.
      • Carlyle Global Financial Services Partners, L.P. · Sole Member
        indirect · owns 75% or more of Clipper Gp, L.L.C.
      • Carlyle Global Financial Services Partners, L.P. · Limited Partner
        indirect · owns 75% or more of Carlyle Financial Services Harbor, L.P.
      • Carlyle Group Management L.L.C. · General Partner
        indirect · owns F of The Carlyle Group L.P.
      • Carlyle Holdings II Gp L.L.C. · General Partner
        indirect · owns F of Carlyle Holdings II, L.P.
      • Carlyle Holdings II, L.P. · General Partner
        indirect · owns F of Tc Group Cayman Investment Holdings, L.P.
      • Carlyle Offshore Partners II Holdings, Ltd. · Member
        indirect · owns 75% or more of Carlyle Offshore Partners II, Ltd.
      • Carlyle Offshore Partners II, Ltd. · Voting Member
        indirect · owns 75% or more of Dbd Cayman Holdings, Ltd.
      • Carlyle Partners V, L.P. · Limited Partner
        indirect · owns 25% to 50% of Clipper Holding, L.P.
      • Clipper Acquisitions Corp. · Shareholder
        indirect · owns 75% or more of The Tcw Group, Inc.
      • Clipper Gp, L.L.C. · General Partner
        indirect · owns F of Clipper Holding, L.P.
      • Clipper Holding, L.P. · Shareholder
        indirect · owns 75% or more of Clipper Intermediate Corp.
      • Clipper Intermediate Corp. · Shareholder
        indirect · owns 75% or more of Clipper Acquisitions Corp.
      • Cp V Ilp Gp, Ltd. · General Partner
        indirect · owns F of Cp V Investment Holdings L.P.
      • Cp V Investment Holdings L.P. · Limited Partner
        indirect · owns 25% to 50% of Tc Group V, L.P.
      • Dbd Cayman Holdings, Ltd. · Member
        indirect · owns 75% or more of Dbd Cayman, Ltd.
      • Dbd Cayman, Ltd. · General Partner
        indirect · owns F of Tcg Holdings Cayman II, L.P.
      Related persons
      Schedule D 7.A
      • Hpp General Partner, LLC
        pooled vehicle sponsorn
      • Metropolitan West Asset Management LLC
        investment adviserbankpooled vehicle sponsornRAUM $79B
      • Nb Real Property, L.P.
        pooled vehicle sponsorn
      • Regiment Capital V Gp, L.P.
        pooled vehicle sponsorn
      • Tcw (Linc II) L.P.
        pooled vehicle sponsorn
      • Tcw (Linc IV) LLC
        pooled vehicle sponsorn
      • Tcw (Shop II) L.P.
        pooled vehicle sponsorn
      • Tcw (Shop III) L.P.
        pooled vehicle sponsorn
      • Tcw Advisors (Bermuda) Ltd.
        pooled vehicle sponsorn
      • Tcw Asia Limited
        broker-dealern
      • Tcw Asset Management Company International Limited
        pooled vehicle sponsorn
      • Tcw Asset Management Company LLC
        investment adviserbankpooled vehicle sponsornRAUM $81B
      • Tcw Europe Limited
        investment advisern
      • Tcw Funds Distributors LLC
        broker-dealern
      • Tcw Investment Management Company LLC
        investment adviserbankpooled vehicle sponsornRAUM $39B
      • Tcw Private Funds Management LLC
        pooled vehicle sponsorn
      • Tcw Special Situations, LLC
        investment advisernRAUM $21.6M
      • Tcw Ssf Gp, LLC
        pooled vehicle sponsorn
      • Tcw-Wla Jv Venture LLC
        investment advisernRAUM $1.0M
      • Tcw/Craton II Gp, LLC
        pooled vehicle sponsorn
      • Tcw/Crescent Mezzanine III, LLC
        pooled vehicle sponsorn
      • Tcw/Scoggin Administrator, LLC
        pooled vehicle sponsorn
      • Tcw/Scoggin, LLC
        investment advisernRAUM $59.7M
      • Trust Company Of The West
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • Tcw Distressed Management Co, Llc 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.
      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