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Investment Adviser Firm Summary

TCW INVESTMENT MANAGEMENT COMPANY LLC (CRD# 106546 / SEC# 801-29075)
Alternate Names: TCW INVESTMENT MANAGEMENT CO , TCW INVESTMENT MANAGEMENT COMPANY LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/18/1987

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/22/2000
Alaska 03/03/2000
Arizona 08/29/1994
Arkansas 03/01/2000
California 12/14/1988
Colorado 03/16/2000
Connecticut 03/01/2001
Delaware 07/24/1992
District of Columbia 04/01/2000
Florida 03/08/2000
Georgia 03/01/2000
Hawaii 03/01/2000
Idaho 03/01/2000
Illinois 03/22/2000
Indiana 02/09/2001
Iowa 03/01/2000
Kansas 03/01/2000
Kentucky 03/02/2000
Louisiana 10/17/2001
Maine 03/10/2000
Maryland 03/09/2000
Massachusetts 03/01/2000
Michigan 04/18/2000
Minnesota 03/02/2000
Mississippi 03/01/2000
Missouri 03/01/2000
Montana 03/06/2000
Nebraska 11/15/1999
Nevada 03/01/2000
New Hampshire 03/22/2000
New Jersey 03/08/2000
New Mexico 03/06/2000
New York 04/01/2000
North Carolina 01/25/2001
North Dakota 03/01/2000
Ohio 03/23/2000
Oklahoma 02/29/2000
Oregon 01/25/2001
Pennsylvania 02/29/2000
Puerto Rico 02/28/2000
Rhode Island 01/25/2001
South Carolina 08/04/1992
South Dakota 03/02/2000
Tennessee 03/10/2000
Texas 02/29/2000
Utah 03/01/2000
Vermont 02/29/2000
Virgin Islands 03/30/2010
Virginia 03/02/2000
Washington 03/06/2000
West Virginia 03/01/2000
Wisconsin 11/04/1999

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser