D
DSW Investment, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$85,591,056
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
30
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
30
Average account size
$2,853,035
About
DSW Investment, LLC provides discretionary investment supervisory services and individual portfolio management to a small group of individual and high‑net‑worth clients as well as managed employee pension accounts. The firm’s brochure reports it manages approximately $85.6 million on behalf of roughly 30 client accounts.
The firm’s investment process draws on fundamental, quantitative, and qualitative analysis within an asset‑allocation framework, with accounts reviewed at least monthly and clients receiving quarterly performance communications. Strategies described in the brochure range from long‑ and short‑term positions to active trading, option writing (including covered and uncovered positions), short sales, and margin use, and clients may place reasonable restrictions on investments.
Compared with many peers, DSW’s mix of services — notably its acceptance of managed employee pension accounts and the use of higher‑risk trading tools at a relatively concentrated client base — is atypical for a small independent adviser. The brochure also contains inconsistent references about disciplinary matters (stating in one section that there are no relevant events while elsewhere referring readers to that section for descriptions of events), a point prospective clients may want to clarify with the firm.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
1.00% annually
Account minimum: $300,000
Main office location
DSW Investment, LLC
Princeton NJ, United States
Number of offices
1
Most active in
DSW Investment, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut · Massachusetts · New Jersey
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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