Due Diligence, Reg Tech & Product Shelf Management Solutions

Empowering Broker-Dealers, RIAs, and Financial Institutions with industry-leading product research, regulatory support, and informed strategic recommendations.

Discover DDW Solutions
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Community

Serving 90+ industry-leading clients. You can trust that you’re in good company when you partner with us. 

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Scale

You don’t have to be a big firm to be informed like one. We deliver research at scale on thousands of products.

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Consistency

Changes in regulation or your product team? Fear not! The DDW team will be here to support you.

Scaleable Solutions 

Comprehensive Solutions that Work for Your Team

  • DDW delivers a full range of due diligence and technology solutions to help firms evaluate products, monitor risk, and meet evolving regulatory expectations. Scale your team's capabilities with our innovative solutions.

     
    Due Dili Works Product Logo    Reg Works Product Logo    Platform Works Product Logo
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Due Dili Works Product Logo

Simplifying Product & Operations Due Diligence

Delivering independent product and operational due diligence to help financial institutions evaluate risk, strengthen oversight, and support confident, well-documented decision-making across their platforms.

Product DD Engine Product Logo

Conduct ongoing analysis and monitoring across thousands of investment and insurance products spanning annuities, ETFs, mutual funds, structured products, and more to support compliant product shelves, informed committee decisions, and better client outcomes.

Ops Engine Product Logo

Evaluate the operational, governance, and risk frameworks of product manufacturers to help identify potential vulnerabilities and meet regulatory expectations with confidence. From service support to reputation management, our manufacturer scores span all aspects of operations.

 

Reg Works Product Logo

Satisfying Reg Requirements with Innovative Tech Solutions

Award-winning technology to help firms operationalize due diligence, supervision, and documentation to support efficient compliance oversight across evolving regulatory requirements.

Reg BI Engine Logo

Our Reg-BI Engine streamlines best interest documentation by guiding advisors through configurable workflows, fee benchmarking, and reasonably available alternatives, powered by DDW’s product due diligence intelligence for consistent, defensible outcomes.

ERISA Engine Logo

The ERISA Engine supports PTE 2020-02 compliance by integrating ERISA and Reg BI workflows, Form 5500 data, and fee comparisons (including rollovers) to help firms document prudent, best-interest decisions with minimal friction.

Platform Works Product Logo

Informing Home Office & Financial Professional Teams

Centralizing product research and comparisons into a single portal with on-demand analysis and the tools to support informed oversight across thousands of products, and spanning product types.

Advisory Engine Product Logo

The DDW Advisory Engine enables firms to evaluate appropriateness, track changes, and support informed decision-making. Equipping product teams and committees with the insights, documentation, and expertise needed to mitigate risk, identify opportunities, and efficiently maintain a best-in-class product shelf.

 

We chose DDW for our Reg Tech tools because they build great technology and also really understand the products and regs. They have been able to integrate into our systems at scale. They are a true partner and have never said no to me.

- President, Broker Dealer

DDW FAQs

Discover the Difference

It's no coincidence we've been chosen to support 90+ industry-leading clients, discover what sets DDW apart and how we can help act as an extension of your team.

Yes, not only will we attend,  but we are also happy to present our recommendations, along with reg-ready documentation that's specific to your firm.

DDW covers thousands of products spanning investments, annuities, life insurance, ETFs, mutual funds, structured products, alternative investments, and more, helping to bridge the gap for product teams.

We go beyond simple product and manufacturer scores by providing clear "Add", "Remove" or "Keep" recommendations on a quarterly basis.

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Who We Serve

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Product Teams

Product teams rely on DDW for deep, industry-wide research, benchmarking, and documented due diligence that helps them build and maintain a best-in-class product shelf. DDW’s insights and tools enable efficient product decisions that stand up to internal and external review.

 

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Compliance

Compliance teams partner with DDW to document supervisory processes, monitor product changes, and support Reg BI requirements with consistent, regulation-ready research and reporting. Utilizing our reg tech solutions to align supervision and internal workflows, to reduce risk.

 

 Home Office Teams Icon

Home Office Teams

Home office teams and managers leverage our due diligence solutions to see product gaps, fulfill oversight obligations, and streamline committee workflows. From quarterly updates to annual deep-dives, we empower teams to make informed decisions based in qualitative & quantitative research.
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Financial Professionals

Financial professionals benefit from DDW’s centralized research and comparison tools that make it easy to view products, compare alternatives, and demonstrate adherence to best-interest standards — helping advisors match client needs to the right solutions.

 

Score with DDW Recommendations

Powered by Our "ARK Engine"

Due Diligence Works provides customized product-level recommendations grounded in qualitative and quantitative research to support decisive product shelf decisions.

We go beyond a simple scorecard when evaluating products and manufacturers for due diligence. DDW provides clear "Add", "Remove", "Keep" (ARK) recommendations specific to your firm. Recommendations are provided quarterly across thousands of products, and complete with reg-ready documentation to satisfy regulatory and supervision requirements.

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Preview of a DDW Operational Due Diligence Manufacturer Score Output

Award Winning Reg Tech

In 2025, Due Diligence Works received multiple awards in the areas of technology and innovation, for our best-in-class regulatory technology solutions.

BISA 2025 Technology Innovation Award Logo
Investment News 2025 Technology Award Emblem