Private fund adviser · Stamford, CT
DWM Asset Management, LLC
SEC-registered investment adviser · CRD 143224 · SEC 801-67853
At a glance
DWM Asset Management, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $645 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,755th of 4,686 private fund advisers and 6,834th of 17,210 SEC-registered advisers by assets.
Main office 203-655-5453dwmarkets.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $645M
- Rank among private fund advisers
- #2,755 of 4,686
- Rank among all SEC RIAs
- #6,834 of 17,210
- Rank in Connecticut
- #266 of 507
- Clients
- 6
- Accounts
- 5
- Discretionary
- 2% of AUM
- Employees
- 36
- Advisory staff
- 32
- Offices
- 3
Owners and executives on its Form ADV
- Peter H. JohnsonCo-Managing Partner
- Edward A. MarshallCo-Managing Partner, Chief Compliance Officer, General Counsel
- Odeta D. TolliverChief Financial Officer
Custody and brokerage
Custodian
DWM Asset Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
DWM Asset Management, LLC is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: DWM Finance LLC.
- DWM Finance LLC ↗CRD 137513
Its Form ADV brochure (filed March 2026) names DWM Finance as the broker-dealer its advisers are registered with.
Item 10 – Other Financial Industry Activities and Affiliations Three Partners of DWM, and certain other employees, are also actively engaged as registered representatives of DWM’s affiliated broker-dealer, DWM Finance, described above.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 6 | $645M | 100% |
Private funds
DWM Asset Management, LLC reports 3 private funds with $273M in gross assets: private equity funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
DWM Asset Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗dwmarkets.com ↗
AtlasMembers
The full record on DWM Asset Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,273 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does DWM Asset Management, LLC manage?
DWM Asset Management, LLC reports $645 million in regulatory assets under management across 5 accounts, 2% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is DWM Asset Management, LLC?
DWM Asset Management, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are DWM Asset Management, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($645 million, 6 clients).
Does DWM Asset Management, LLC manage private funds?
Yes. It reports 3 private funds with $273 million in gross assets, including private equity funds, other private funds.
Does DWM Asset Management, LLC have any disciplinary history?
DWM Asset Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is DWM Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →