DWP Investment Management, LLC

The firm primarily serves individual and high-net-worth clients, offering ongoing discretionary portfolio management, financial planning and consulting, and 401(k) participant services. It limits investment recommendations to mutual funds, equities, bonds, fixed income, ETFs, REITs and government securities, and also provides business-focused financial modeling and valuation work for clients that require it.

The adviser documents each client’s goals, income, net worth, time horizon and risk tolerance in an Investment Policy Statement and manages accounts on a discretionary basis using fundamental analysis with both long- and short-term trading. Accounts are reviewed at least twice a year, and the firm requires clients to use its recommended custodian and debits advisory fees directly from client accounts with client authorization.

Noteworthy distinctions include the firm’s offering of educational seminars and workshops and its participation in a paid lead-generation program (SmartVestor operated by Ramsey Solutions), for which separate disclosures are provided to prospects. The firm also uses an external virtual assistant provider (EverSource CID/Consider It Done) for administrative and client support with confidentiality agreements, and it manages client assets in-house rather than selecting outside managers.