Dylan Thai

TCW INVESTMENT MANAGEMENT COMPANY LLC

Los Angeles, CA 90071

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CRD#: 7429788

Professional summary

Dylan Thai is a registered financial advisor currently at TCW INVESTMENT MANAGEMENT COMPANY LLC located in Los Angeles, California and TCW FUNDS DISTRIBUTORS LLC located in Los Angeles, California.

Dylan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Dylan has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Thai's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 20, 2022 - Present

TCW INVESTMENT MANAGEMENT COMPANY LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071

RIA

CRD#: 106546

Los Angeles, CA

Current

October 20, 2022 - Present

TCW FUNDS DISTRIBUTORS LLC

Office #1: 515 South Flower Street, Los Angeles, CA 90071

CRD#: 16670

Los Angeles, CA

Past

October 5, 2022 - October 17, 2022

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

Ontario, CA

Past

September 10, 2021 - October 17, 2022

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Ontario, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC

CRD#: 106546 / SEC#: 801-29075

RIA

Registered Investment Advisory firm - (2/18/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/8/2024)

California
(10/20/2022)

IAR

California
(10/20/2022)

Colorado
(8/8/2024)

District of Columbia
(12/13/2022)

IAR

District of Columbia
(6/4/2024)

Iowa
(8/8/2024)

Kansas
(8/8/2024)

Kentucky
(12/13/2022)

IAR

Kentucky
(12/13/2022)

Missouri
(8/8/2024)

Montana
(8/8/2024)

Nebraska
(8/8/2024)

New Mexico
(8/8/2024)

North Carolina
(12/13/2022)

IAR

North Carolina
(12/13/2022)

North Dakota
(8/8/2024)

Oklahoma
(8/8/2024)

South Dakota
(8/8/2024)

Tennessee
(12/13/2022)

Utah
(8/8/2024)

Virginia
(12/13/2022)

IAR

Virginia
(12/13/2022)

West Virginia
(12/13/2022)

IAR

West Virginia
(12/21/2022)

Wyoming
(8/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/2/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 9/10/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/28/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW INVESTMENT MANAGEMENT CO | TCW INVESTMENT MANAGEMENT COMPANY LLC

CRD#: 106546 / SEC#: 801-29075

RIA

Registered Investment Advisory firm - (2/18/1987 Approved)

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Contact information

Main Address

515 South Flower Street, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 244-0000

Established

Firm type

Fiscal year end

# of Employees

419

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TIMCO - FORM ADV PART 2A - FILE COPY - 03.28.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,758
AUM (Assets Under Management)	$ 40,149,916,771

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Dylan Thai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Thai's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC.

Primary Firm SEC Registration

TCW INVESTMENT MANAGEMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2022

Series 63

Date: 10/8/2021

Series 7TO

Date: 12/2/2022

Series 6TO

Date: 9/10/2021

SIE

Date: 5/28/2021

FINRA

Current Firm

TCW INVESTMENT MANAGEMENT COMPANY LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCW INVESTMENT MANAGEMENT COMPANY LLC

TRUST BUT VERIFY

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