WEST GATE ADVISORS, LLC
CRD #131967 SEC #801-63237 LOS ANGELES, CA 213-244-1050
SEC Registered Private Funds
Total AUM
$1.9M
Discretionary
$1.9M
Employees
8
Clients
--
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Feb 26, 2013
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARKER, BRET, ROBERT | I | PORTFOLIO MANAGER | NA | |
| BARKER, BRET, ROBERT | I | PORTFOLIO MANAGER | NA | |
| BARKER, BRET, ROBERT | I | PORTFOLIO MANAGER | NA | |
| BENCIVENGA, VINCENT, JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| BENCIVENGA, VINCENT, JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| BENCIVENGA, VINCENT, JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DEVITO, DAVID, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO,CHIEF COMPLIANCE OFFICER, PM | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO,CHIEF COMPLIANCE OFFICER, PM | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO,CHIEF COMPLIANCE OFFICER, PM | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | MANAGING DIRECTOR | NA | Control |
| ENGELSMAN, JEFFREY, ALAN | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| FLACK, MITCHELL, ADAM | I | PORTFOLIO MANAGER | NA | |
| FLACK, MITCHELL, ADAM | I | PORTFOLIO MANAGER | NA | |
| FLACK, MITCHELL, ADAM | I | PORTFOLIO MANAGER | NA | |
| FLACK, MITCHELL, ADAM | I | PORTFOLIO MANAGER | NA | |
| FLACK, MITCHELL, ADAM | I | PORTFOLIO MANAGER | NA | |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HATTESOHL, JOSEPH, DIEDERICH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| JACKSON, MEREDITH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KANE, STEPHEN, MICHAEL | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| KARP, TAMMY | I | PORTFOLIO MANAGER | NA | |
| KARP, TAMMY | I | PORTFOLIO MANAGER | NA | |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LANDMANN, LAIRD, RIDINGS | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CEO | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | GENERALIST PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | PORTFOLIO MANAGER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CEO | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CEO | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CEO | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CEO | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPPMAN, DAVID, BRIAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LOO, BRIAN, HENGHOK | I | PORTFOLIO MANAGER | NA | |
| LOO, BRIAN, HENGHOK | I | PORTFOLIO MANAGER | NA | |
| LOO, BRIAN, HENGHOK | I | PORTFOLIO MANAGER | NA | |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LORD, HILARY, GILLIAN DARCY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MITCHELL, PATRICK, LEE | I | PORTFOLIO MANAGER | NA | Control |
| MITCHELL, PATRICK, LEE | I | PORTFOLIO MANAGER | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MOORE, PATRICK, ALAN | I | DIRECTOR OF CLIENT SERVICES | NA | Control |
| MULPAGANO, LARA, ELISABETH | I | CHIEF OPERATING OFFICER | NA | Control |
| MULPAGANO, LARA, ELISABETH | I | CHIEF OPERATING OFFICER | NA | Control |
| MULPAGANO, LARA, ELISABETH | I | CHIEF OPERATING OFFICER | NA | Control |
| RISTIC, GEORGE, PETER | I | CTO | NA | |
| RIVELLE, CAL | I | COO | NA | Control |
| RIVELLE, CAL | I | COO | NA | Control |
| RIVELLE, CAL | I | COO | NA | Control |
| RIVELLE, CAL | I | COO | NA | Control |
| RIVELLE, CAL | I | COO | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, CAL | I | CHIEF OPERATING OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RIVELLE, TAD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| SCIBELLI, ANTHONY, CHRISTOPHER | I | DIRECTOR OF MARKETING | NA | Control |
| UNFERTH, MARK, DAVID | I | PORTFOLIO MANAGER | NA | |
| WHALEN, BRYAN, THOMAS | I | PORTFOLIO MANAGER | NA | |
| WHALEN, BRYAN, THOMAS | I | PORTFOLIO MANAGER | NA | |
| WHALEN, BRYAN, THOMAS | I | PORTFOLIO MANAGER | NA | |
| WHALEN, BRYAN, THOMAS | I | PORTFOLIO MANAGER | NA | |
| WOODARD, ROBERT, LEE | I | MANAGING DIRECTOR | NA | Control |
| WOODARD, ROBERT, LEE | I | MANAGING DIRECTOR | NA | Control |
| WOODARD, ROBERT, LEE | I | MANAGING DIRECTOR | NA | Control |
| WOODARD, ROBERT, LEE | I | MANAGING DIRECTOR | NA | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
| METROPOLITAN WEST ASSET MANAGEMENT LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | FE | TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | FE | TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | FE | TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | FE | TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE FINANCIAL SERVICES, LTD. | FE | TCG FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE GROUP MANAGEMENT L.L.C. | DE | THE CARLYLE GROUP L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II GP, L.L.C. | DE | CARLYLE HOLDINGS II, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CARLYLE HOLDINGS II, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CLIPPER GP, L.L.C. | DE | CLIPPER HOLDING, L.P. | F | Control |
| CP V ILP GP, LTD. | FE | CP V INVESTMENT HOLDINGS L.P. | F | Control |
| CP V ILP GP, LTD. | FE | CP V INVESTMENT HOLDINGS L.P. | F | Control |
| CP V ILP GP, LTD. | FE | CP V INVESTMENT HOLDINGS L.P. | F | Control |
| CP V ILP GP, LTD. | FE | CP V INVESTMENT HOLDINGS L.P. | F | Control |
| DBD CAYMAN, LTD. | FE | TCG HOLDINGS CAYMAN II, L.P. | F | Control |
| DBD CAYMAN, LTD. | FE | TCG HOLDINGS CAYMAN II, L.P. | F | Control |
| DBD CAYMAN, LTD. | FE | TCG HOLDINGS CAYMAN II, L.P. | F | Control |
| DBD CAYMAN, LTD. | FE | TCG HOLDINGS CAYMAN II, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P. | FE | TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.L.C. | DE | TC GROUP V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TC GROUP V, L.P. | DE | CARLYLE PARTNERS V, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | F | Control |
| TCG FINANCIAL SERVICES, L.P. | FE | CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | F | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES PARTNERS, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CLIPPER GP, L.L.C. | E | Control |
| CARLYLE GLOBAL FINANCIAL SERVICES, L.P. | FE | CARLYLE FINANCIAL SERVICES HARBOR, L.P. | E | Control |
| CARLYLE OFFSHORE PARTNERS II HOLDINGS, LTD. | FE | CARLYLE OFFSHORE PARTNERS II, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II HOLDINGS, LTD. | FE | CARLYLE OFFSHORE PARTNERS II, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II HOLDINGS, LTD. | FE | CARLYLE OFFSHORE PARTNERS II, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II HOLDINGS, LTD. | FE | CARLYLE OFFSHORE PARTNERS II, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II, LTD. | FE | DBD CAYMAN HOLDINGS, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II, LTD. | FE | DBD CAYMAN HOLDINGS, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II, LTD. | FE | DBD CAYMAN HOLDINGS, LTD. | E | Control |
| CARLYLE OFFSHORE PARTNERS II, LTD. | FE | DBD CAYMAN HOLDINGS, LTD. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER ACQUISITIONS CORP. | DE | THE TCW GROUP, INC. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER HOLDING, L.P. | DE | CLIPPER INTERMEDIATE CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| CLIPPER INTERMEDIATE CORP. | DE | CLIPPER ACQUISITIONS CORP. | E | Control |
| DBD CAYMAN HOLDINGS, LTD. | FE | DBD CAYMAN, LTD. | E | Control |
| DBD CAYMAN HOLDINGS, LTD. | FE | DBD CAYMAN, LTD. | E | Control |
| DBD CAYMAN HOLDINGS, LTD. | FE | DBD CAYMAN, LTD. | E | Control |
| DBD CAYMAN HOLDINGS, LTD. | FE | DBD CAYMAN, LTD. | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| HOLLANDER, RICHARD, SCOTT | I | MW HOLDINGS, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MW HOLDINGS, LLC | DE | METROPOLITAN WEST FINANCIAL, LLC | E | Control |
| MWAM HOLDINGS, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| MWAM HOLDINGS, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| MWAM HOLDINGS, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE ASSET MANAGEMENT SA | FE | THE TCW GROUP, INC. | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE HOLDING DE PARTICIPATIONS | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| SOCIETE GENERALE SA | FE | SOCIETE GENERALE ASSET MANAGEMENT SA | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | CARLYLE FINANCIAL SERVICES, LTD. | E | Control |
| TC GROUP CAYMAN INVESTMENT HOLDINGS SUB, L.P. | FE | TC GROUP V, L.L.C. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | GP V ILP GP, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | GP V ILP GP, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | GP V ILP GP, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | CARLYLE FINANCIAL SERVICES HOLDINGS, LTD. | E | Control |
| TCG HOLDINGS CAYMAN II, L.P. | FE | GP V ILP GP, LTD. | E | Control |
| TCW ASSET MANAGEMENT CO | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE CARLYLE GROUP L.P. | DE | CARLYLE HOLDINGS II GP, L.L.C. | E | Control |
| THE TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| THE TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| THE TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| THE TCW GROUP, INC. | DE | TCW ASSET MANAGEMENT CO | E | Control |
| THE TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| THE TCW GROUP, INC. | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | E | Control |
| SOCIETE GENERALE HOLDING DE PARTICIPATIONS | FE | THE TCW GROUP, INC. | D | Control |
| TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | FE | TCG FINANCIAL SERVICES, L.P. | D | Control |
| TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | FE | TCG FINANCIAL SERVICES, L.P. | D | Control |
| TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | FE | TCG FINANCIAL SERVICES, L.P. | D | Control |
| TCG FINANCIAL SERVICES INVESTMENT HOLDINGS, L.P. | FE | TCG FINANCIAL SERVICES, L.P. | D | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE FINANCIAL SERVICES HARBOR, L.P. | FE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CARLYLE PARTNERS V, L.P. | DE | CLIPPER HOLDING, L.P. | C | Control |
| CONWAY, WILLIAM, ELIAS | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| CONWAY, WILLIAM, ELIAS | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| CONWAY, WILLIAM, ELIAS | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| CONWAY, WILLIAM, ELIAS | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| CP V INVESTMENT HOLDINGS L.P. | FE | TC GROUP V, L.P. | C | Control |
| CP V INVESTMENT HOLDINGS L.P. | FE | TC GROUP V, L.P. | C | Control |
| CP V INVESTMENT HOLDINGS L.P. | FE | TC GROUP V, L.P. | C | Control |
| CP V INVESTMENT HOLDINGS L.P. | FE | TC GROUP V, L.P. | C | Control |
| D'ANIELLO, DANIEL, ANTHONY | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| D'ANIELLO, DANIEL, ANTHONY | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| D'ANIELLO, DANIEL, ANTHONY | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| D'ANIELLO, DANIEL, ANTHONY | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | MWAM HOLDINGS, LLC | C | Control |
| DUBCHANSKY, SCOTT, BRIAN | I | MWAM HOLDINGS, LLC | C | Control |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| METROPOLITAN WEST FINANCIAL, LLC | DE | METROPOLITAN WEST ASSET MANAGEMENT, LLC | C | |
| RIVELLE, TAD | I | MWAM HOLDINGS, LLC | C | Control |
| RIVELLE, TAD | I | MWAM HOLDINGS, LLC | C | Control |
| RUBENSTEIN, DAVID, MARK | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| RUBENSTEIN, DAVID, MARK | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| RUBENSTEIN, DAVID, MARK | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
| RUBENSTEIN, DAVID, MARK | I | DBD CAYMAN HOLDINGS, LTD. | C | Control |
Registrations
Federal
IA
Feb 26, 2013 REGISTERED
Notice Filings (4)
CA GA KS WA
Address
865 S. FIGUEROA STREETSUITE 1800
LOS ANGELES, CA 90017-2593
United States
Phone: 213-244-1050