DW Financial Inc

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Client assets under management

$46,000,000

Clients

118

0% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$389,831

About

The firm generally provides discretionary investment management, financial planning, and tax planning and return preparation primarily for individual clients. Investment management is implemented mainly through no-load mutual funds selected and monitored by the firm.

Portfolios are built to client-specific risk bands using Morningstar software, reviewed monthly, and delivered with quarterly written reports that compare performance and risk to a broad market benchmark. The firm limits investments to no-load mutual funds it selects and follows an internal policy that the firm’s president personally holds the mutual funds chosen for client accounts.

The firm is affiliated with an accounting practice—one co-owner is a CPA—and includes supervised tax-preparation and tax-planning services alongside investment advice, a service mix that is less common among peers. It uses a single custodian relationship with a major broker-dealer, does not participate in wrap programs or soft-dollar arrangements, and applies in-house oversight to fund selection and reporting rather than outsourcing portfolio management.

Client services

Financial planning Portfolio management

Expertise

General tax planning Wealth management

Fee options

Percentage

$0 - $25,000: 1.95% of assets under management plus $600 minimum fee $25,000 - $50,000: 1.95% of assets under management plus $300 minimum fee $50,000 - $100,000: 1.95% of assets under management $100,000 - $200,000: 1.75% of assets under management $200,000 - $400,000: 1.5% of assets under management $400,000 - $600,000: 1.25% of assets under management $600,000 - $1,000,000: 1.00% of assets under management $1,000,000+: 0.75% of assets under management

Other

Account minimum: $25,000 Minimum fee: $600 for accounts with less than $25,000 under management; $300 for accounts with less than $50,000 under management Fee-only: Fee based only on asset management fees and fixed fees; no commissions charged.

Main office location

DW Financial Inc

1230 N Jefferson, Suite K

Anaheim CA 92807, United States

Number of offices

Most active in

California

Disclosures

Business activities & affiliations

Is active or affiliated with:

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 714-632-0500

Advisors at this firm

Dale W

CFP®

Anaheim, CA

DW Financial Inc

Dale Woodward is a CFP® with 20 years of industry experience, currently serving as the sole advisor at DW Financial Inc. He has been with DW Financial since 2001 and has been self-employed since 1996. In addition to his advisory work, he is also a licensed real estate broker. DW Financial Inc. provides discretionary investment management, financial planning, and tax planning primarily for individual clients. The firm focuses on no-load mutual funds selected and monitored internally, delivering client-specific portfolios with regular performance reviews and integrated tax services through an affiliated accounting practice.

General tax planning Wealth management

Kevin D

Series 63

Anaheim, CA

DW Financial Inc

Kevin Davidson is a financial advisor at DW Financial Inc with 24 years of industry experience. He holds a Series 63 designation and has worked at H.D. Vest Investment Securities, Inc. since 1999. In addition to his advisory role, Davidson operates a CPA practice dating back to 1987. DW Financial Inc provides discretionary investment management, financial planning, and tax planning primarily for individual clients. The firm focuses on no-load mutual funds selected through an internal process and combines investment advice with supervised tax-preparation and tax-planning services.

General tax planning Wealth management

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