DWR WEALTH MANAGEMENT, LLC
Adviser information for DWR WEALTH MANAGEMENT, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 520 | $164.6M |
| Non-Discretionary | 16 | $1.1M |
| Total | 536 | $165.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 93 | $17.5M |
| HNW Individuals | 83 | $134.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 15 | $11.3M |
| Charitable organizations | <5 | $2.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $507,933 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-122140 |
|---|---|
| SEC ERA File Number | 801-122140 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133743 |
| Legal Entity Identifier | None |
Principal Office
1884 THE ALAMEDASAN JOSE
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: (408) 260-9600, Fax: (408) 260-9606
Chief Compliance Officer
TRACY NEWQUIST
MANAGING MEMBER
1884 THE ALAMEDA
SAN JOSE
CA
United States
Tel:
(408) 260-9600 X314
Fax:
(408) 260-9606
C************************@********M
(Full email address available in API data)
Regulatory Contact
CHRIS STANLEY
FOUNDING PRINCIPAL, BEACH STREET LEGAL
PO BOX 31681
DES PERES
MO
United States
Tel:
(314) 441-6191
T***@*******************M
(Full email address available in API data)
Industry Affiliates
| DUNHAM ASSOCIATES CPAS, INC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROUSSELOT, DAVID, REX | Individual | – | MEMBER | 01/2005 | 10-25% |
| DUNHAM, RICKY, DALE | Individual | – | MEMBER | 01/2005 | > 75% |
| NEWQUIST, TRACY, LEE | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 05/2021 | 10-25% |