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DW ADVISORS LLC, CRD 150382
CORONA DEL MAR, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••••• C••••••• B•••••• | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | yes | 06/2009 | Jan 4, 2012 | Oct 8, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• C•••••• M••••••••• G••••• I••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN DIEGO | CA | United States | 14 | no |
| NEWPORT BEACH | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Mar 9, 2018 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $340M | $312M | 8.7% | $211M | 17.2% | 16 | 15 | 2 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• W••••• A••••••• | 2 | Nov 1, 2018 | Jun 10, 2018 | SAN DIEGO, CA | Team lift out | RIA to RIA | 100.0% |
| A•••••• W••••• A••••••• | 2 | Dec 31, 2017 | Oct 20, 2017 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P••••••• W••••• P••••••• | 2 | Nov 19, 2015 | Sep 23, 2015 | TAMPA, FL | Team lift out | Other | 16.7% |
| M••••• S•••••• | 2 | Feb 27, 2015 | Feb 13, 2015 |
| $340M |
| $332M |
| 16 |
| 13 |
| 2 |
| n/a |
| n/a |
| 2016 | Mar 30, 2017 | $312M | $258M | 15 | 13 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $424M | $404M | 27 | 18 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $211M | $191M | 16 | 15 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $211M | $191M | 15 | 12 | n/a | n/a | n/a |
| CORONA DEL MAR, CA |
| Team lift out |
| Other |
| 33.3% |
| R• P•••••••• G•••• | 2 | Oct 19, 2016 | Nov 23, 2016 | CORONA DEL MAR, CA | Team lift out | Other | 18.2% |
| L••••• A••••••• S••••••• | 2 | Mar 25, 2016 | Sep 2, 2025 | CORONA DEL MAR, CA | Team lift out | Other | 13.3% |
| PASADENA, CA |
| Team lift out |
| Other |
| 0.0% |