Firm profile

Tcw Asset Backed Finance Management Company LLC

LOS ANGELES, CACRD 332802Registration Status: ApprovedEffective since October 7, 2024SEC # 801-131265Latest ADV May 5, 2026

Tcw Asset Backed Finance Management Company LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Los Angeles, CA. Its latest Form ADV filing, dated May 5, 2026, reports $425M in regulatory assets under management, 315 employees, 2 offices, and 1 account.

Assets Under Management
$425M
Employees
315
Offices
2 offices
Total Clients
<5

Associated firm names

1 name listed
  • TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC

Leadership

4 roles identified
CEOKathryn A. Koch
CCOKathryn L. Jones
CFORichard M. Villa

Advisory services offered

1 types reported
Portfolio management for investment companies

Fee models offered

2 types reported
Asset based fees
Performance-based fees

Offices & Contact

Primary office

LOS ANGELES, California, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

California

LOS ANGELESPrimary office

New York

NEW YORK

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$425Mas of May 5, 2026
Discretionary100.0%
$425M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentInvestment Cos. represent 100.0% of total clients.
Top client categories% of clientsClients
1
Investment Cos.
100.0%
1

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$425M
Total Accounts1
10Y AUM Change+$425M

Private Funds

Private funds reported by Tcw Asset Backed Finance Management Company LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees315
Clients per Employee0:1
10Y Employee Change-73 (-18.8%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
TCW ASSET MANAGEMENT COMPANY LLCDirect owner · Schedule AInterest in TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC
75%+
RICHARD MANUEL VILLADirect owner · Schedule AInterest in TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC
< 5%
ANDREW JOHN BOWDENDirect owner · Schedule AInterest in TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC
< 5%
DYLAN MARCH PELLETIER ROSSDirect owner · Schedule AInterest in TCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC
< 5%
THE TCW GROUP, INC.Indirect owner · Schedule BInterest in TCW ASSET MANAGEMENT COMPANY LLC
75%+
CLIPPER ACQUISITIONS CORP.Indirect owner · Schedule BInterest in THE TCW GROUP, INC.
75%+
CLIPPER INTERMEDIATE CORP.Indirect owner · Schedule BInterest in CLIPPER ACQUISITIONS CORP.
75%+
CLIPPER HOLDING, L.P.Indirect owner · Schedule BInterest in CLIPPER INTERMEDIATE CORP.
75%+
NIPPON LIFE INSURANCE COMPANYIndirect owner · Schedule BInterest in NIPPON LIFE AMERICAS, INC.
75%+
NIPPON LIFE AMERICAS, INC.Indirect owner · Schedule BInterest in CLIPPER HOLDING, L.P.
50% to < 75%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Tcw Asset Backed Finance Management Company LLC.

Reported ownership and control details

Form ADV · Filing date 2026-05-05 · Schedules A and B

15 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1TCW ASSET MANAGEMENT COMPANY LLCMEMBERDomestic entityTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLC75% or moreCode EYesMEMBER09/2024Schedule APDF page 52
2RICHARD MANUEL VILLABOARD MEMBER, EXECUTIVE VICE PRESIDENT, AND CHIEF FINANCIAL OFFICERIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesBOARD MEMBER, EXECUTIVE VICE PRESIDENT, AND CHIEF FINANCIAL OFFICER09/2024Schedule APDF page 52
3KATHRYN AGNES KOCHPRESIDENT AND CHIEF EXECUTIVE OFFICERIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesPRESIDENT AND CHIEF EXECUTIVE OFFICER09/2024Schedule APDF page 52
4ANDREW JOHN BOWDENBOARD MEMBER, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARYIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesBOARD MEMBER, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY03/2025Schedule APDF page 52
5MELISSA LYNN STOLFIEXECUTIVE VICE PRESIDENT AND GLOBAL CHIEF OPERATING OFFICERIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesEXECUTIVE VICE PRESIDENT AND GLOBAL CHIEF OPERATING OFFICER09/2024Schedule APDF page 53
6DYLAN MARCH PELLETIER ROSSBOARD MEMBER, MANAGING DIRECTORIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesBOARD MEMBER, MANAGING DIRECTOR09/2024Schedule APDF page 53
7JESSICA H KUNGEXECUTIVE VICE PRESIDENT, AND CHIEF HUMAN RESOURCES OFFICERIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesEXECUTIVE VICE PRESIDENT, AND CHIEF HUMAN RESOURCES OFFICER07/2025Schedule APDF page 53
8Kathryn Lynn JonesGLOBAL CHIEF COMPLIANCE OFFICERIndividualTCW ASSET BACKED FINANCE MANAGEMENT COMPANY LLCLess than 5%Code NAYesGLOBAL CHIEF COMPLIANCE OFFICER05/2026Schedule APDF page 53
9THE TCW GROUP, INC.SHAREHOLDERDomestic entityTCW ASSET MANAGEMENT COMPANY LLC75% or moreCode EYesSHAREHOLDER05/1970Schedule BPDF page 53
10CLIPPER ACQUISITIONS CORP.SHAREHOLDERDomestic entityTHE TCW GROUP, INC.75% or moreCode EYesSHAREHOLDER02/2013Schedule BPDF page 53
11CLIPPER INTERMEDIATE CORP.SHAREHOLDERDomestic entityCLIPPER ACQUISITIONS CORP.75% or moreCode EYesSHAREHOLDER07/2012Schedule BPDF page 53
12CLIPPER HOLDING, L.P.SHAREHOLDERDomestic entityCLIPPER INTERMEDIATE CORP.75% or moreCode EYesSHAREHOLDER07/2012Schedule BPDF page 53
13CLIPPER GP, L.L.C.GENERAL PARTNERDomestic entityCLIPPER HOLDING, L.P.Percentage not specifiedCode FYesGENERAL PARTNER07/2012Schedule BPDF page 53
14NIPPON LIFE AMERICAS, INC.SHAREHOLDERDomestic entityCLIPPER HOLDING, L.P.50% to less than 75%Code DYesSHAREHOLDER12/2017Schedule BPDF page 53
15NIPPON LIFE INSURANCE COMPANYSHAREHOLDERForeign entityNIPPON LIFE AMERICAS, INC.75% or moreCode EYesSHAREHOLDER04/2013Schedule BPDF page 53

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 5/5/2026 1:36:49 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.