DW
CFA
DW
CFA
Douglas Weiss is a CFA-designated registered investment advisor at Dsw Investment, LLC, based in Princeton, NJ, with 17 years of industry experience. Douglas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 31 clients with $86M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
31 clients
Average Client Portfolio
$2.8M average
Assets Under Management
$85.6M
Fee Structure
Minimum Investment:$300K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
A minimum of $300,000 of assets under management is required for this service. This account size may be negotiable under certain circumstances.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Princeton, NJ
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
February 2011Final
Regulatory
February 2011Final
Employment History
Current Registrations
Dsw Investment, LLC
August 2011 - Present · 14 yrs 9 mos
Previous Registrations
Cibc World Markets CORP.Broker
January 1998 - March 2000 · 2 yrs 2 mos
Salomon Brothers INC.Broker
February 1997 - January 1998 · 11 mos
State Registrations3 states
CTMANJ
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.