TCW SPECIAL SITUATIONS, LLC – investment adviser, $21.6M regulatory AUM (Form ADV)

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	$21,564,499	100.0%

Filing source

Form ADV 1801218 · Dec 1, 2023 · 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

2 Private funds

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

REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LPHedge Fund · Last reported Dec 1, 2023$21.6MGross asset value

Form D fundraising filings

Regiment Capital Special Situations Fund V, L.P.

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Provider details

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

DELOITTE & TOUCHE LLP
PCAOB 34

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-2217897511
Reported beneficial owners: 141
Minimum commitment: $1M
Form D file number: 021-159534

Form ADV 1801218 · Dec 1, 2023 · 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.

SPECIAL SITUATIONS FUND III, LPHedge Fund · Last reported Feb 5, 2018$36.5MGross asset value

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Provider details

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

DELOITTE & TOUCHE LLP
PCAOB 34

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-8662966126
Reported beneficial owners: 49
Minimum commitment: $1M
Form D file number: 021-70856

Form ADV 1166379 · Feb 5, 2018 · 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: Dec 1, 2023. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

515 SOUTH FLOWER STREET
LOS ANGELES, CA, 90071, United States

CRD 166286

Filing source

Form ADV 1801218 · Dec 1, 2023 · 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.