# DW Financial Inc

> DW Financial Inc is a state-registered investment advisory firm in Anaheim, CA, registered since 2001, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated May 26, 2026.

- CRD: 136882
- Filed as: DW FINANCIAL INC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Anaheim, CA
- Filing period: October 2026
- Form ADV filing dated: May 26, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/136882
- AdvisorCensus page: https://advisorcensus.com/firm/dw-financial-inc-anaheim-ca-136882

## Quick answers

**How is DW Financial Inc compensated?**
On its Form ADV (Item 5.E, October 2026), DW Financial Inc reports these compensation arrangements: fixed fees (other than subscription fees).

**Where is DW Financial Inc located?**
DW Financial Inc's principal office is in Anaheim, CA, according to its Form ADV.

**Is DW Financial Inc registered with the SEC or a state?**
DW Financial Inc is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 136882.

**How much does DW Financial Inc manage?**
DW Financial Inc reports $47,960,000 in regulatory assets under management in its Form ADV filing dated May 26, 2026 (100% discretionary).

**What types of clients does DW Financial Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (103).

**Does DW Financial Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/136882

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $47,960,000
- Discretionary: $47,960,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 103 | $47,960,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2001 (24 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- dwfinancialinc.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. DW Financial Inc (CRD 136882): Form ADV filing data as of October 2026.