SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
TCW Investment Management Company LLC
Los Angeles, CA
CRD 106546
Firm filing updated May 5, 2026 ·
- $38.8BAssets
- 4,945Clients
- 114Advisory staff
- 4,982Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals4,748
- Corporations or other businesses71
- Charities48
- Pension and profit sharing plans40
- High net worth individuals15
- and 4 more23
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 4,748 | $2.4 billion |
| High net worth individuals | 15 | $106.7 million |
| Investment companies | 12 | $29.5 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 9 | $6.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 40 | $514.3 million |
| Charitable organizations | 48 | $77.9 million |
| Insurance companies | 1 | $297,171 |
| Sovereign wealth funds and foreign official institutions | 1 | $1.3 million |
| Corporations or other businesses not listed above | 71 | $121.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "PORTFOLIO MANAGEMENT FOR WRAP FEE PROGRAMS"
Assets and accounts
- Regulatory assets$38.8 billion
- Accounts4,982
- DiscretionaryAll accounts
People
- Employees405
- Advisory staff114
- Broker-dealer reps81
- Licensed insurance agents0
Advisors
27 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 106546, SEC file 801-29075.
- Registered with the SEC as an investment advisor (status date on record: February 18, 1987).
Is TCW Investment Management Company LLC a fiduciary?
Short answer: TCW Investment Management Company LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 81 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.