DUNN CAPITAL MANAGEMENT
DUNN CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for DUNN CAPITAL MANAGEMENT last updated from Form ADV on January 5th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $162.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $162.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $162.8M |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 | $0 |
| 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 | Selection of other advisers (including private fund managers) |
|---|---|
| Compensation | DUNN IS NOT COMPENSATED DIRECTLY FOR INVESTMENT ADVISORY SERVICE |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-129466 |
|---|---|
| SEC ERA File Number | 801-129466 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328632 |
| Legal Entity Identifier | 6354007QUJ4RXKFWPO02 |
Principal Office
309 SE OSCEOLA STREETSUITE 350
STUART
FL
United States
Monday - Friday, 8AM-6PM
Tel: 772-286-4777, Fax: 772-286-5366
Chief Compliance Officer
MELISSA SPRAFKIN
309 SE OSCEOLA ST
SUITE 350
STUART
FL
United States
Tel:
7727813288
Fax:
7722865366
M******@**************M
(Full email address available in API data)
Regulatory Contact
DAVID DREYER
GENERAL COUNSEL
309 SE OSCEOLA STREET
SUITE 350
STUART
FL
United States
Tel:
7727813280
Fax:
7722865366
D****@**************M
(Full email address available in API data)
Industry Affiliates
| DUNN SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FINANCIAL CONSORTIUM INTERNATIONAL | Commodity pool operator or commodity trading advisor |
| HALYARD ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARTIN H BERGIN DUNN INTEREST TRUST | Domestic Entity | – | OWNER, TRUSTEE | 01/2010 | > 75% |
| BERGIN, MARTIN, HAMILTON | Individual | – | PRESIDENT | 01/2010 | < 5% |
| DAILEY, JAMES, RUSSELL | Individual | – | CEO | 03/2016 | < 5% |
| KAUPPI, DAVID, ALLEN | Individual | – | CFO | 03/2016 | < 5% |
| SPRAFKIN, MELISSA | Individual | – | CCO | 10/2023 | < 5% |
| BERGIN, MARTIN, HAMILTON | Individual | MARTIN H BERGIN DUNN INTEREST TRUST | OWNER | 01/2010 | > 75% |
| DREYER, DAVID, E | Individual | – | GENERAL COUNSEL | 06/2008 | < 5% |