DW Financial Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
DW Financial Inc primarily serves individual clients with discretionary portfolio management, general financial planning, and integrated tax planning and return preparation. The firm manages accounts using no-load mutual funds and maintains a stated account minimum for new clients.
Portfolios are constructed from a focused roster of no-load mutual funds the firm identifies as “best in class,” with risk bands set using Morningstar analytics and an objective of maximizing returns for an agreed level of market risk. Accounts are reviewed at least monthly and the firm provides quarterly written reports that benchmark performance and risk against a broad-market index.
Noteworthy distinctions include an in-house accounting/tax capability through a CPA co-owner, which the firm integrates into its advisory services, and a compact advisory team managing roughly $48 million for about 100 clients. The firm also follows a policy of selecting only mutual funds personally held by the firm’s president and applies CFP Board Standards as its code of ethics.
Client services
Expertise
Fee options
$0 - $25,000: 1.95% of assets under management plus $600 minimum fee $25,000 - $50,000: 1.95% of assets under management plus $300 minimum fee $50,000 - $100,000: 1.95% of assets under management $100,000 - $200,000: 1.75% of assets under management $200,000 - $400,000: 1.50% of assets under management $400,000 - $600,000: 1.25% of assets under management $600,000 - $1,000,000: 1.00% of assets under management $1,000,000+: 0.75% of assets under management
Account minimum: $25,000 Minimum fee: $600 for accounts with less than $25,000 under management; $300 for accounts with less than $50,000 under management Fee-only: Fees are payable only after services are provided; no commissions.
Main office
1230 N Jefferson, Suite K
Anaheim CA 92807
Advisors at this office
2
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Dale W
CFP®
Anaheim, CA
DW Financial Inc
Dale Woodward is a CFP® with 20 years of industry experience, currently serving as the sole advisor at DW Financial Inc. He has been with DW Financial since 2001 and has been self-employed since 1996. In addition to his advisory work, he is also a licensed real estate broker. DW Financial Inc. provides discretionary investment management, financial planning, and tax planning primarily for individual clients. The firm focuses on no-load mutual funds selected and monitored internally, delivering client-specific portfolios with regular performance reviews and integrated tax services through an affiliated accounting practice.
Kevin D
Series 63
Anaheim, CA
DW Financial Inc
Kevin Davidson is a financial advisor at DW Financial Inc with 24 years of industry experience. He holds a Series 63 designation and has worked at H.D. Vest Investment Securities, Inc. since 1999. In addition to his advisory role, Davidson operates a CPA practice dating back to 1987. DW Financial Inc provides discretionary investment management, financial planning, and tax planning primarily for individual clients. The firm focuses on no-load mutual funds selected through an internal process and combines investment advice with supervised tax-preparation and tax-planning services.
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