DW Investment Solutions, Inc.

DW Investment Solutions, Inc. provides discretionary portfolio management and financial planning to individual and high-net-worth clients, as well as trusts, estates, and business entities. The firm reports approximately $111.4 million in assets under management across 159 client accounts and prepares an Investment Policy Statement for each client to document goals and risk tolerance.

DWIS combines fundamental and technical analysis and employs both long‑term and short‑term trading strategies while generally focusing on mutual funds, equities, fixed income, ETFs, REITs, annuities, and government securities. The firm seeks written discretionary authority to implement client plans, monitors accounts at least quarterly, and conducts non‑periodic reviews when material events occur.

Distinctive operational features include in‑house management of all client assets (the firm does not engage third‑party managers) and a requirement that clients use its recommended custodians (Altruist Financial LLC or TIAA‑CREF), which the firm notes may limit client direction of brokerage. DWIS also receives discounted research from custodians (e.g., Morningstar), uses fee‑withdrawal practices that can create “deemed” custody under regulatory rules, and does not accept proxy‑voting authority for client securities.