Full text of TCW FUNDS DISTRIBUTORS LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### TCW FUNDS DISTRIBUTORS LLC (SEC. I.D. No. 8-31114) ## FINANCIAL STATEMENTS AND SUPPLEMENTAL SCHEDULES AS OF AND FOR THE YEAR ENDED DECEMBER 31, 2021, AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\*\*\*\* Filed pursuant to Rule 17a-5(e)(3) as a PUBLIC DOCUMENT. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0 MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-31114 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ___<br>0_1/_0_1_/2_1 | __<br>AND ENDING | ___ | __<br>1_2_/3_1_/_2_1 | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|-----------------------------------------|---------|----------------------|--| | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | _______<br>NAME OF FIRM: | T_C_W_F_u_n_d_D_i_s_tr_ib_u_to_r_s_L_L_C | | | __________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 865 South Figueroa Street | | | | | | | (No. and Street) | | | | | | Los Angeles | California | | | 90017 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | James Krause | 213-244-1065 | | | jim.krause@tcw.com | | | (Name) | (Area Code -Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | Deloitte & Touche LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 555 West 5th Street | Los Angeles | | CA | 90013 | | | (Address) | (City) | | (State) | (Zip Code) | | | October 20, 2003 | | | 34 | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be cove…Read the full text as markdown