# DWS Investment S.A.

> DWS Investment S.A. is an exempt reporting adviser in Luxembourg, Luxembourg, Luxembourg, filing reports since 2019. Exempt reporting advisers do not report regulatory assets under management on Form ADV.

- CRD: 300838
- Filed as: DWS INVESTMENT S.A.
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Luxembourg, Luxembourg, Luxembourg
- Filing period: October 2026
- Form ADV filing dated: September 21, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/300838
- AdvisorCensus page: https://advisorcensus.com/firm/dws-investment-s-a-luxembourg-luxembourg-300838

## Quick answers

**Where is DWS Investment S.A. located?**
DWS Investment S.A.'s principal office is in Luxembourg, Luxembourg, Luxembourg, according to its Form ADV.

**How does DWS Investment S.A. report to regulators?**
DWS Investment S.A. is an exempt reporting adviser, filing reports since 2019. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 300838.

**Does DWS Investment S.A. report any disciplinary disclosures?**
Reports 15 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 10 questions about regulatory matters, and 4 questions about civil court matters (11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). 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/300838

## From the Form ADV filing

### Firm details
- Reporting since: 2019 (7 years)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 15 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 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.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 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.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?
- 11.H(1)(c): Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?
- 11.H(2): Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?

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/300838

### Websites listed on Form ADV (Item 1.I)
- db.com
- dws.lu
- LinkedIn @DWSGroup
- X @DWS_GROUP

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | Not reported | September 28, 2021 |
| October 2022 | Not reported | Not reported | August 26, 2022 |
| October 2023 | Not reported | Not reported | August 7, 2023 |
| October 2024 | Not reported | Not reported | August 21, 2024 |
| October 2025 | Not reported | Not reported | September 1, 2025 |
| October 2026 | Not reported | Not reported | September 21, 2026 |


## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. DWS Investment S.A. (CRD 300838): Form ADV filing data as of October 2026.