banner-image-2 banner-image-3
Download Our Industry Insights Newsletter
Register for Annual Conference March 30, 2023 Denver, CO
Complete Carrier Service Strength Score Survey

DDW Core Services

Reasonably Available Alternatives Tool

Let your FPs create their RAA, or let the system create for them. Either way is quick and easy and documented

Research

Carrier and Product level research for your product shelf. Gain scale from our research used across the industry (a must in a Reg BI environment)

ERISA Roll Over Tool

Need to document a rollover is just. Include the plan expenses, new portfolio, manager fees, and rational for rolling over.

Product Shelf Management

Get specific advice on your product shelf, what to keep, remove or add to your shelf with a documented process

Research Portal

See your product shelf in one place, with easy access to research, support your Reg BI needs
This is a title
Contextual advertising can be profitable. It can either pay for your hosting and maintenance costs for you website or it can pay for a lot more.
INDUSTRY NEWS

Regulator Corner

Get up to date info on regulatory news. See DDW's analysis and how it may effect your firm.

VIEW REGULATOR CORNER

Investment and Insurance Products

We cover them all. You would expect your Financial Professional to look across products before selecting the best choice for a client. You should expect the same from your due diligence firm.

Screenshot (212)
  • Annuities
  • Life Insurance
  • Mutual Funds
  • Exchange Traded Funds
  • Managed Money
  • Unit Investment Trusts
  • Structured Products
  • Alternative Investments

What We Believe Is Important

Freeman pic (2)
To research a product shelf, you have to compare it to the industry product universe. If you don’t know what else is out there, it is impossible to know your product shelf is best in class, yet alone document as such. We review the entire product universe on a continuous basis, and this enables us to provide advice on your product shelf.

Due diligence is not just for the back office. Organizing research and tailoring the information to the correct audience is a key reason our content is used up and down the organization from the front office to the back.

It is amazing when Supervision and Financial Professionals use the same tools and information. NIGOs are reduced and the culture is improved. Same is true for your product organization, helping them see things from an FP perspective and FPs from a Product Management perspective.

Financial Services can be a complicated business, especially when reading a prospectus or sifting through product data. We turn data into actionable information and speak in plain English.

Due Diligence Can Help Sales

Gone are the days of thick due diligence reports which nobody reads. There is great content produced through proper due diligence, we take great pride in producing these reports, but even more in how it is consumed. Our content is meant to be read by home office (analyst to president) and by Financial Professionals. We show products in a way that FPs need to see to help their clients.

We also believe Financial Professionals are typically good at talking to clients about market commentary. But often struggle to convert that conversation into a product sales tied to the client need. We have created the DDW Market Insights which takes the current market conditions and talks to actual products that can implement that market idea. This is helpful for the FP and Sales Managers to have the right conversation to help clients and grow the business.

Screenshot (202)

Recent Activities

Structured Products Industry Update - November 2022

Where Will Structured Products be in the Next Market Cycle?

FTX: A failure of due diligence

What happened to FTX, and more importantly, what should we think about going forward?

Takeaways from the FINRA Small Firms Conference - Los Angeles, November 2022

Key Themes Discussed:  Reg BI,  Complex Products,  Best Ex Reviews 

What We Learned at the National Society of Compliance Professionals’ (NSCP) National Conference

  There were 4 primary themes that ran throughout the compliance conference.

3 Ways BDs are Responding to PTE 2020-02

  We are frequently asked "What are firms doing with PTE 2020-02? How are our BD peers handling 401k rollovers?"

Sign up to Stay Connected