# D/W Financial Consultants LLC

> D/W Financial Consultants LLC is a state-registered investment advisory firm, registered since 2012, with no regulatory assets under management reported in its Form ADV filing dated January 16, 2026.

- CRD: 149395
- Filed as: D/W FINANCIAL CONSULTANTS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: January 16, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/149395
- AdvisorCensus page: https://advisorcensus.com/firm/d-w-financial-consultants-llc-149395

## Quick answers

**How is D/W Financial Consultants LLC compensated?**
On its Form ADV (Item 5.E, October 2026), D/W Financial Consultants LLC reports these compensation arrangements: hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is D/W Financial Consultants LLC registered with the SEC or a state?**
D/W Financial Consultants LLC is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 149395.

**Does D/W Financial Consultants LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149395

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Fixed fees (other than subscription fees)

### Advisory services (Item 5.G)
- Financial planning services
- Other

### Firm details
- Registered since: 2012 (14 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE, MD
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149395

### Websites listed on Form ADV (Item 1.I)
- [dwfinancialconsultants.com](https://dwfinancialconsultants.com)

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. D/W Financial Consultants LLC (CRD 149395): Form ADV filing data as of October 2026.