Investment adviser · CRD 143224

DWM ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Mar 30, 2026

Regulatory AUM: $645M
Client accounts: 5
Employees: 36
Advisory professionals: 32

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	6	$645,032,634	100.0%

Filing source

Form ADV 2051359 · Mar 30, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

5 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

DWM SDGS CREDIT FUND, A SUB-FUND OF DWM INCOME FUNDS S.C.A. - SICAV SIFOther Private Fund · Last reported Mar 30, 2026$263MGross asset value

Fund administrator APEX FUND SERVICES S.A. LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON AUDIT & ASSURANCE LUXEMBOURG, Luxembourg

Custodian EUROPEAN DEPOSITARY BANK S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Custodian NUVAMA CUSTODIAL SERVICES LIMITED MUMBAI, India Related to adviser: No

Marketer DWM FINANCE LLC STAMFORD, Connecticut, United States Related to adviser: Yes

Marketer NORDEA INVESTMENT MANAGEMENT AB STOCKHOLM, Sweden Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DWM FINANCE LLC
CRD 137513 · SEC 8-67091

Fund details & source

Fund ID: 805-9311824084
Reported beneficial owners: 15
Minimum commitment: $500K

Form ADV 2051359 · Mar 30, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DWM INCLUSIVE FINANCE EQUITY FUND II, A SUB-FUND OF DWM FUNDS S.C.A. - SICAV SIFPrivate Equity Fund · Last reported Mar 30, 2026$10.2MGross asset value

Fund administrator APEX FUND SERVICES S.A. LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON AUDIT & ASSURANCE LUXEMBOURG, Luxembourg

Custodian EUROPEAN DEPOSITARY BANK S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-8509460292
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-1440884

Form ADV 2051359 · Mar 30, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DWM MICROFINANCE EQUITY FUND I, A SUB-FUND OF DWM FUNDS S.C.A. - SICAV SIFPrivate Equity Fund · Last reported Mar 30, 2026$528KGross asset value

Fund administrator APEX FUND SERVICES S.A. LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON AUDIT & ASSURANCE LUXEMBOURG, Luxembourg

Custodian EUROPEAN DEPOSITARY BANK S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-1905219577
Reported beneficial owners: 4
Minimum commitment: $500K
Form D file number: 021-1440884

Form ADV 2051359 · Mar 30, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

THE DWM MICROFINANCE FUND J, A SUB-FUND OF DWM INCOME FUNDS S.C.A. - SICAV SIFOther Private Fund · Last reported Mar 28, 2020$14.4MGross asset value

Fund administrator APEX FUND SERVICES (MALTA) LIMITED LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON DUBLIN, Ireland

Custodian DEUTSCHE BANK LUXEMBOURG S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Marketer DWM FINANCE LLC STAMFORD, Connecticut, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON
PCAOB 1402

DWM FINANCE LLC
CRD 137513 · SEC 8-67091

Fund details & source

Fund ID: 805-9180070149
Reported beneficial owners: 1
Minimum commitment: $184K

Form ADV 1392056 · Mar 28, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

THE DWM MICROFINANCE FUND, A SUB-FUND OF DWM INCOME FUNDS S.C.A. - SICAV SIFOther Private Fund · Last reported Mar 30, 2017$289KGross asset value

Form D fundraising filings

DWM Income Funds S.C.A. SICAV-SIF

Fund administrator DEUTSCHE BANK LUXEMBOURG S.A. LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON DUBLIN, Ireland

Custodian DEUTSCHE BANK LUXEMBOURG S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Marketer DWM FINANCE LLC STAMFORD, Connecticut, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DWM FINANCE LLC
CRD 137513 · SEC 8-67091

Fund details & source

Fund ID: 805-3121651100
Reported beneficial owners: 19
Minimum commitment: $500K
Form D file number: 021-139601

Form ADV 1093360 · Mar 30, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 30, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

100 FIRST STAMFORD PLACE, 4TH FLOOR
STAMFORD, CT, 06902, United States

CRD 143224

Filing source

Form ADV 2051359 · Mar 30, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.