{"url":"https://nivawealth.com/firms/dw-investment-solutions-150471","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150471","regulatoryAum":111409050,"crd":"150471","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5905463","suffix":null,"lastName":"ROONEY","firstName":"CHRISTIE","middleName":"MARIE"},{"crd":"5083189","suffix":null,"lastName":"WALKER","firstName":"LINDA","middleName":"DIANNE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136562","legalName":"DW Investment Solutions, Inc.","displayName":"DW Investment Solutions","slug":"dw-investment-solutions-150471","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington 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accounts: $600 up to $300,000 of portfolio value, rising in steps to $2,100 for balances above $2,000,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046040","versionId":1046040,"submittedOn":"2026-05-22","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:57:29.776044+00:00","documents":[{"name":"ADV PART 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Walker","title":"President/Chief Compliance Officer","crd":"5083189"},{"name":"Christie Rooney","title":"Treasurer","crd":"5905463"}],"ownership":[{"label":"Linda Walker","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since June 2009."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"509-924-6526","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":14},{"label":"Investment grade corporate bonds","percent":17},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"18 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150471/PDF/150471.pdf","brochureDate":"22 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046040","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does DW Investment Solutions have?","answer":"DW Investment Solutions has 159 clients and manages $111 million for them, as of June 2026. They include 113 individual clients and 46 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DW Investment Solutions offer?","answer":"DW Investment Solutions provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does DW Investment Solutions charge?","answer":"DW Investment Solutions charges 0.55%–1.50% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in advance.","source":"ADV PART 2A, filed 22 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does DW Investment Solutions use?","answer":"DW Investment Solutions’ separately managed account assets are held at Altruist Financial LLC (Culver City, CA), with $90.2M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $21.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DW Investment Solutions have?","answer":"DW Investment Solutions has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does DW Investment Solutions invest in?","answer":"At the end of its last fiscal year, DW Investment Solutions’ separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 17% investment grade corporate bonds, 14% exchange-traded equities and 8% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns DW Investment Solutions?","answer":"DW Investment Solutions’ direct owner is Linda Walker (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DW Investment Solutions get paid?","answer":"DW Investment Solutions is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact DW Investment Solutions?","answer":"Its phone number is 509-924-6526.","source":"Form ADV Part 1A, Item 1.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}