Richard Alexander Guints
Investment Adviser Representative at TCW Investment Management Company LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard Alexander Guints is an investment adviser representative with TCW Investment Management Company LLC in Glendale, CA, where they have been registered since 2025, the year they entered the securities industry. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California.
Office
Advisors at this office: 21
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Fordham Preparatory SchoolSep 2014 – Jun 2017Bronx, NY
- Loyola Marymount UniversityAug 2017 – Jun 2021Los Angeles, CA
- Advanced Regulatory Compliance, LLCApr 2021 – Dec 2022Los Angeles, CA
- ACA Group, LLCDec 2022 – Dec 2024Los Angeles, CA
- Tamar Securities LLCJan 2025 – May 2025Woodland Hills, CA
- United States Tennis Association, Inc.Aug 2025 – Sep 2025New York, NY
- TCW LLCSep 2025 – no end date reportedLos Angeles, CA
- TCW Funds DistributorsSep 2025 – no end date reportedLos Angeles, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About TCW Investment Management Company LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 42
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Los Angeles, CA
- SEC file number:
- 801-29075
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 5, 2026
View full firm profileOther advisors at TCW Investment Management Company LLC
Showing 12 of 42 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Alexander Guints has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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