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Nicholas Jose Diaz

TCW Investment Management Co. LLC

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About Nicholas Jose Diaz

Nicholas Diaz is a financial advisor with over eight years of experience in the industry. Nicholas has held positions at Goldman Sachs & Co., Neuberger Berman, and Duchossois Capital Management. Currently, Nicholas is an Investment Advisor Representative for TCW Investment Management Co. LLC, which has offices in Los Angeles, California. Nicholas specializes in portfolio management for businesses, individuals, investment companies, and pooled investment vehicles. Nicholas holds the Series 7, Series 66, and SIE licenses.

Firm Information

Nicholas Diaz is currently registered with TCW Investment Management Co. LLC. TCW Investment Management Co. LLC is an investment advisor based in Los Angeles, California. They manage a broad range of investment portfolios for individuals, businesses, and pooled investment vehicles, including insurance companies, investment companies, charitable organizations, pension plans, and high-net-worth individuals. They also provide portfolio management for wrap fee programs. The firm has approximately $39.9 billion in regulatory assets under management.
TCW Investment Management Co. LLC

515 SOUTH FLOWER STREET

LOS ANGELES, CA 90071

$39.90B

Assets Under Management

7,162

Total Clients

33

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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portfolio management for wrap fee programs

Portfolio management for wrap fee programs

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Nicholas Diaz’s Registration & Firm History

CA

09/13/2022 - Present

TCW Investment Management Co. LLC (LOS ANGELES CA)

IL

08/06/2020 - 05/10/2022

NEUBERGER BERMAN BD LLC (CHICAGO IL)

NY

09/15/2014 - 09/06/2018

GOLDMAN SACHS & CO. LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 09/21/2020

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 10/06/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/06/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/15/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Jose Diaz.
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