DWM ASSET MANAGEMENT, LLC
Adviser information for DWM ASSET MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 30 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $43.3M |
| Non-Discretionary | 6 | $511.3M |
| Total | 8 | $554.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $554.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-67853 |
|---|---|
| SEC ERA File Number | 801-67853 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143224 |
| Legal Entity Identifier | None |
Principal Office
100 FIRST STAMFORD PLACE4TH FLOOR
STAMFORD
CT
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 203-655-5453, Fax: 203-656-9528
Chief Compliance Officer
EDWARD MARSHALL
GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
100 FIRST STAMFORD PLACE
4TH FLOOR
STAMFORD
CT
United States
Tel:
203-655-5453
Fax:
203-656-9528
E*****@************M
(Full email address available in API data)
Regulatory Contact
ODETTE
TOLLIVER
100 FIRST STAMFORD PLACE
4TH FLOOR
STAMFORD
CT
United States
Tel:
203-655-5453
Fax:
203-656-9528
O*****@************M
(Full email address available in API data)
Industry Affiliates
| DWM FINANCE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DWM INCLUSIVE FINANCE EQUITY FUND II, A SUB-FUND OF DWM FUNDS S.C.A. - SICAV SIF | Private Equity Fund | $31.2M | $1.0M | 7 |
| DWM MICROFINANCE EQUITY FUND I, A SUB-FUND OF DWM FUNDS S.C.A. - SICAV SIF | Private Equity Fund | $12.1M | $0.5M | 4 |
| THE TRILL IMPACT-DWM SDGS CREDIT FUND, A SUB-FUND OF DWM INCOME FUNDS S.C.A. - SICAV SIF | DEBT FUND | $229.6M | $0.2M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHNSON, PETER, HALLOCK | Individual | – | PARTNER, MANAGER (RELYING ADVISER) | 10/2006 | < 5% |
| DWM HOLDINGS, LLC | Domestic Entity | – | MEMBER, PARENT (RELYING ADVISER) | 12/2007 | > 75% |
| JOHNSON, PETER, HALLOCK | Individual | DWM HOLDINGS, LLC | MEMBER | 12/2007 | 25-50% |
| MARSHALL, EDWARD, ADGER | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGER (RELYING ADVISER) | 09/2010 | < 5% |
| DWM HOLDINGS, LLC | Domestic Entity | DEVELOPING WORLD FINANCE, LLC; DWM ASSET MANAGEMENT, LLC | PARENT | 12/2004 | > 75% |
| SWANSON, J, BRADLEY | Individual | DWM HOLDINGS, LLC | MEMBER | 12/2007 | |
| TOLLIVER, ODETA, DANA | Individual | – | CHIEF FINANCIAL OFFICER | 01/2016 | < 5% |
| MARSHALL, EDWARD, ADGER | Individual | DWM HOLDINGS, LLC | PARTNER | 09/2010 | |
| WALKER, WILLIAM, COURTLAND CHURCHFIEL | Individual | DWM HOLDINGS, LLC | PARTNER | 04/2018 | |
| TOLLIVER, ODETA, DANA | Individual | DWM HOLDINGS, LLC | PARTNER | 01/2016 | |
| REMTULA, ALEEM | Individual | DWM HOLDINGS, LLC | PARTNER | 04/2018 | |
| Constantino, Robert, Peter | Individual | DWM HOLDINGS, LLC | PARTNER | 01/2023 | |
| MEHAN, CHRISTOPHER, FRANCIS | Individual | DWM HOLDINGS, LLC | PARTNER | 01/2023 |