Investment adviser · CRD 305688

EAST WEST INVESTMENT MANAGEMENT LLC

Investment adviser filing (IA)

PASADENA, CA, United States · Form ADV filed Nov 12, 2020

Regulatory AUM: $350M
Client accounts: 1
Employees: 7
Advisory professionals: 7

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	1	$350,000,000	100.0%

Filing source

Form ADV 1464905 · Nov 12, 2020 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

EAST WEST INVESTMENT MANAGEMENT CLO 2019-1, LTD.Securitized Asset Fund · Last reported Nov 12, 2020$350MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No

Marketer EAST WEST MARKETS, LLC DALLAS, Texas, United States Related to adviser: Yes

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

EAST WEST MARKETS, LLC
CRD 146871 · SEC 8-67858

Fund details & source

Fund ID: 805-6255711310
Reported beneficial owners: 5
Minimum commitment: $100K

Form ADV 1464905 · Nov 12, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Nov 12, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

135 NORTH LOS ROBLES AVE., 7TH FL.
PASADENA, CA, 91101, United States

CRD 305688

Filing source

Form ADV 1464905 · Nov 12, 2020 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.