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DWM ASSET MANAGEMENT, LLC

Company Details

Entity Name: DWM ASSET MANAGEMENT, LLC
Jurisdiction: Connecticut
Legal type: LLC
Citizenship: Domestic
Status: Active
Date Formed: 27 Oct 2006 (Companies founded in October 2006)
Business ALEI: 0877305
Annual report due: 31 Mar 2025
NAICS code: 523999 - Miscellaneous Financial Investment Activities
Business address: 100 First Stamford Place, STAMFORD, CT, 06902, United States
Mailing address: 100 First Stamford Place, 4th Floor, STAMFORD, CT, United States, 06902
ZIP code: 06902 (Companies in Fairfield, 06902)
County: Fairfield
Place of Formation: CONNECTICUT
E-Mail: odette@dwmarkets.com

Legal Entity Identifier

LEI number Registered As Jurisdiction Of Formation General Category Entity Status Entity created at
DQK2HC90HZY3CO83LQ27 0877305 US-CT GENERAL ACTIVE 2006-10-27

Addresses
Legal C/O R&C SERVICE COMPANY, 280 TRUMBULL STREET, HARTFORD, US-CT, US, 06103
Headquarters 100 First Stamford Place, 4th Floor, STAMFORD, US-CT, US, 06902

Registration details
Registration Date 2012-06-27
Last Update 2023-10-14
Status LAPSED
Next Renewal 2023-10-13
LEI Issuer 5493001KJTIIGC8Y1R12
Corroboration Level FULLY_CORROBORATED
Data Validated As 0877305

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2023 562633053 2024-04-26 DWM ASSET MANAGEMENT, LLC. 25
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2145000057
Plan sponsor’s address 100 FIRST STAMFORD PLACE, 4TH FLOOR, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2024-04-26
Name of individual signing BARBARA SIMS
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2022 562633053 2023-06-05 DWM ASSET MANAGEMENT, LLC. 29
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 100 FIRST STAMFORD PLACE, 4TH FLOOR, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2023-06-05
Name of individual signing BARBARA SIMS
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2021 562633053 2022-07-01 DWM ASSET MANAGEMENT, LLC. 25
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2022-07-01
Name of individual signing DENISE KELLY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2022-07-01
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2021 562633053 2022-07-01 DWM ASSET MANAGEMENT, LLC. 25
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2022-07-01
Name of individual signing DENISE KELLY
Valid signature Filed with incorrect/unrecognized electronic signature
Role Employer/plan sponsor
Date 2022-07-01
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2021 562633053 2022-06-24 DWM ASSET MANAGEMENT, LLC. 25
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2022-06-24
Name of individual signing DENISE KELLY
Valid signature Filed with incorrect/unrecognized electronic signature
Role Employer/plan sponsor
Date 2022-06-24
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2020 562633053 2021-05-07 DWM ASSET MANAGEMENT, LLC. 25
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2021-05-07
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2021-05-07
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2019 562633053 2020-06-24 DWM ASSET MANAGEMENT, LLC. 24
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2020-06-24
Name of individual signing DENISE KELLY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-06-24
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2018 562633053 2019-05-13 DWM ASSET MANAGEMENT, LLC. 25
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2019-05-13
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC. 401(K) PLAN 2017 562633053 2018-07-11 DWM ASSET MANAGEMENT, LLC. 27
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2033531107
Plan sponsor’s address 750 WASHINGTON BLVD., 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2018-07-11
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2018-07-11
Name of individual signing EDWARD MARSHALL
Valid signature Filed with authorized/valid electronic signature
DWM ASSET MANAGEMENT, LLC 401(K) PLAN 2016 562633053 2017-06-27 DWM ASSET MANAGEMENT, LLC 33
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2011-01-01
Business code 523120
Sponsor’s telephone number 2036555453
Plan sponsor’s address 750 WASHINGTON BLVD, 5TH FLOOR, STAMFORD, CT, 06901

Signature of
Role Plan administrator
Date 2017-06-27
Name of individual signing PETER JOHNSON
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2017-06-27
Name of individual signing PETER JOHNSON
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role
R&C SERVICE COMPANY Agent

Officer

Name Role Business address Residence address
PETER H. JOHNSON Officer 100 First Stamford Place, 4th Floor, STAMFORD, CT, 06902, United States 12 BAYBERRY LANE, DARIEN, CT, 06820, United States
EDWARD A. MARSHALL Officer 100 First Stamford Place, 4th Floor, STAMFORD, CT, 06902, United States No data

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012733319 2024-08-14 No data Mass Agent Change � Address Agent Address Change No data
BF-0012104192 2024-01-22 No data Annual Report Annual Report No data
BF-0011413126 2023-02-21 No data Annual Report Annual Report No data
BF-0011536868 2022-12-20 2022-12-20 Interim Notice Interim Notice No data
BF-0010192991 2022-03-04 No data Annual Report Annual Report 2022
BF-0010444881 2022-02-11 2022-02-11 Change of Business Address Business Address Change No data
0007100474 2021-02-01 No data Annual Report Annual Report 2021
0006770309 2020-02-21 No data Annual Report Annual Report 2020
0006445282 2019-03-11 No data Annual Report Annual Report 2019
0006025131 2018-01-22 No data Annual Report Annual Report 2018

Related by officers

PETER H. JOHNSON

DEVELOPING WORLD MARKETS MICROFINANCE, LLC DEVELOPING WORLD FINANCE, LLC DWM FINANCE LLC DWM HOLDINGS, LLC

EDWARD A. MARSHALL

DWM HOLDINGS, LLC

Related by address

100 First Stamford Place, STAMFORD, CT, 06902, United States

DEVELOPING WORLD MARKETS MICROFINANCE, LLC DEVELOPING WORLD FINANCE, LLC DWM FINANCE LLC DWM HOLDINGS, LLC

100 First Stamford Place, 4th Floor, STAMFORD, CT, United States, 06902

DEVELOPING WORLD MARKETS MICROFINANCE, LLC DEVELOPING WORLD FINANCE, LLC DWM FINANCE LLC DWM HOLDINGS, LLC

Date of last update: 04 Nov 2024

Sources: Connecticut's Official State Website

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