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Independent Broker Dealer

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It’s all about the Advisor. Successful Advisors are key to the success of your business and drive how you grow.We get it. We have designed our offering for you to provide a broad product platform, but also perform the necessary Due Diligence to meet today’s regulatory standards. We also provide our proprietary content to you to share with your advisors, allowing you to add a little extra value in their day.

Product Shelf Set-Up

  • Review and perform due diligence on your product shelf
  • Support acquisitions and review overlaps
  • Identify issues or concerns and bring recommendations to product and risk committees
  • Compare your current products to industry products, making replacement recommendation where appropriate
  • Identify gaps in your offering and recommend new products to fill gaps
  • Ensure your product shelf is compliant, best in class, and ready for today’s market environment
  • This is done by each product line

Proactive Due Diligence

  • Review your current product shelf to ensure appropriateness by monitoring track record, tenure, complexity, and assigning risk parameters to the product
  • Provide quarterly due diligence update reports that, when married with sales reports, provide a true picture to grow your business and mitigate risks
  • Perform annual deep dive due diligence reviews
  • Provide Always on due diligence monitoring of product changes, industry changes, client changes, and provider changes
  • Support your product committee with periodic reviews, documentation and expertise, helping you get to the right answers in an efficient manner

Do You Have a Large Product Shelf?

  • No Problem, we review them all. You can get a competitive edge when recruiting new advisors. With DDW, you don't have to shrink your platform due to capacity constraints.

Meeting Fiduciary Standards

For Your Risk and Compliance Team

The DDW ComplianceProcess ensures your products meet the Impartial Conduct Standards.

For Your Product Team

Use our to "Demonstrate Independent Oversight of your product shelf.

Product Team

For Your Advisors

• Give your advisors the leg up and gain some time back in their day.
• Make it easy for Advisors to compare products.
• Help advisors match client need
• to the best products in a repeatable and scalable way.

Your Advisors