DUNBAR ASSOCIATES, LLC
Adviser information for DUNBAR ASSOCIATES, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 202 | $63.2M |
| Non-Discretionary | 250 | $150.0M |
| Total | 452 | $213.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 194 | $61.6M |
| HNW Individuals | 40 | $21.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 65 | $98.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $31.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-126791 |
|---|---|
| SEC ERA File Number | 801-126791 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323134 |
| Legal Entity Identifier | None |
Principal Office
71 TURKEY ROOST ROADMONROE
CT
United States
Monday - Friday, BY APPOINTMENT
Tel: (203) 880-5716, Fax: None
Chief Compliance Officer
KEITH C. CUOMO
DIRECTOR OF WEALTH MANAGEMENT
71 TURKEY ROOST ROAD
MONROE
CT
United States
Tel:
(203) 880-5716
K****@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUNBAR, MICHELE, KRISTINE | Individual | – | MANAGING MEMBER / MANAGING PARTNER | 09/2022 | > 75% |
| DUNBAR, ROBERT, George | Individual | – | MANAGING PARTNER | 09/2022 | 10-25% |
| CUOMO, KEITH, CHRISTIAN | Individual | – | DIRECTOR OF WEALTH MANAGEMENT / CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |