Metropolitan West Securities, LLC (Los Angeles)

Name: Metropolitan West Securities, LLC
Address: 11440 San Vicente Blvd, 3 Rd Floor, Los Angeles, CA, 90049
Telephone: 310-979-6300

Metropolitan West Securities, LLC is a large advisory firm based in Los Angeles. It manages $56.89 billion of regulatory assets for 175 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of California, Florida, New Jersey, and 3 other states.

Metropolitan West Securities provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Metropolitan West Securities: assets under management

The assets under management (AUM) of Metropolitan West Securities, LLC is $56.89 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 85% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $56.89 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $325.08 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Metropolitan West Securities, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Metropolitan West Securities, LLC

Thomas William Hayes has been acting as President since 1 Jan 2001. Richard Harlan Schweitzer joined the executive team most recently as the Chief Operating Officer & Management Committee Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Paul Chung Chow	Managing director	1 Nov 1994	Other	2241857
Terry Michael Crow	Managing director and chief investment officer	1 Nov 1994	Other	1083735
Edward Emilio Curiel	Managing director and chief technology strategist	1 Nov 1994	Other	1343647
Thomas Joseph Mackin	Chief compliance officer	1 Jan 1999	Other	3035474
Gary Francis Rupert	Co-chief operating officer, managing director	1 Jun 1999	Other	2136787
Louis V Molinari	Managing director	1 Nov 1999	Other	1867996
Daniel Thomas Murphy	Senior vice president	1 Nov 1999	Other	1046010
Kevin Joseph Oconnor	Senior vice president	1 Nov 1999	Other	1608077
Robert Reid Jr Womack	Managing director	1 Jan 2000	Other	2379368
Paul Bernard Marcus	Managing director	1 Jan 2000	Other	1835520
Richard Scott Hollander	Board member	1 Jan 2001	Other	724511
Thomas William Hayes	President	1 Jan 2001	Other	2389781
Richard Harlan Schweitzer	Co-chief operating officer	1 Jan 2001	Other	2312588
Craig Taylor Carlson	Chief financial officer	1 Jan 2001	Other	3035478
Llc Metropolitan West Financial	Interest owner	1 Dec 2001	50% - 75%	95-4888043
Richard Harlan Schweitzer	Chief financial officer	1 Dec 2002	Other	2312588
Gary Francis Rupert	Chief executive officer	1 Jan 2003	Other	2136787
Louis V Molinari	President-office of relationship management	1 Jan 2003	Other	1867996
Daniel Thomas Murphy	Chief risk & compliance officer	1 Jan 2003	Other	1046010
Richard Harlan Schweitzer	Chief operating officer & management committee member	1 Jan 2004	Other	2312588
Daniel Thomas Murphy	Management committee member	1 Jan 2004	Other	1046010
Wachovia Bank Na	Direct owner	1 Jan 2004	75% - 100%	56-0927594

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Scott Hollander	Member	1 Dec 2001	75% - 100%	724511
Llc Mw Holdings	Interest owner	1 Jan 2002	75% - 100%	95-4778654
Wachovia Corporation	Shareholder	1 Jan 2004	75% - 100%	56-0898180
Na Wachovia Bank	Shareholder	1 Jan 2004	75% - 100%	56-0898180

Based in Los Angeles

The principal office where Metropolitan West Securities, LLC performs its advisory services is located at 11440 San Vicente Blvd, 3 Rd Floor, Los Angeles, CA 90049, which is also the mailing address of the firm. An additional office of the firm is in Sacramento, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-979-6300 or by fax 310-979-6399. The normal business hours are 6:30am - 4:00pm on Monday - Friday. You can find more information about the New York firm at www.mws.com.