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Investment Adviser Firm Summary
TCW INVESTMENT MANAGEMENT COMPANY LLC ( CRD # 106546/SEC#:801-29075 )
TCW INVESTMENT MANAGEMENT CO, TCW INVESTMENT MANAGEMENT COMPANY LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved2/18/1987
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.

JURISDICTIONEFFECTIVE DATE
Alabama3/22/2000
Alaska3/3/2000
Arizona8/29/1994
Arkansas3/1/2000
California12/14/1988
Colorado3/16/2000
Connecticut3/1/2001
Delaware7/24/1992
District of Columbia4/1/2000
Florida3/8/2000
Georgia3/1/2000
Hawaii3/1/2000
Idaho3/1/2000
Illinois3/22/2000
Indiana2/9/2001
Iowa3/1/2000
Kansas3/1/2000
Kentucky3/2/2000
Louisiana10/17/2001
Maine3/10/2000
Maryland3/9/2000
Massachusetts3/1/2000
Michigan4/18/2000
Minnesota3/2/2000
Mississippi3/1/2000
Missouri3/1/2000
Montana3/6/2000
Nebraska11/15/1999
Nevada3/1/2000
New Hampshire3/22/2000
New Jersey3/8/2000
New Mexico3/6/2000
New York4/1/2000
North Carolina1/25/2001
North Dakota3/1/2000
Ohio3/23/2000
Oklahoma2/29/2000
Oregon1/25/2001
Pennsylvania2/29/2000
Puerto Rico2/28/2000
Rhode Island1/25/2001
South Carolina8/4/1992
South Dakota3/2/2000
Tennessee3/10/2000
Texas2/29/2000
Utah3/1/2000
Vermont2/29/2000
Virgin Islands3/30/2010
Virginia3/2/2000
Washington3/6/2000
West Virginia3/1/2000
Wisconsin11/4/1999
Wyoming3/29/2022
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.