DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
Adviser information for DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 34 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 33 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8,735 | $3.1B |
| Non-Discretionary | 2,250 | $693.6M |
| Total | 10,985 | $3.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8,925 | $1.3B |
| HNW Individuals | 1,803 | $2.1B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 15 | $264.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $960 |
| Pension and profit sharing plans | 41 | $14.2M |
| Charitable organizations | 70 | $18.8M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 129 | $69.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 11000 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)ASSET-ALLOCATION SERVICES |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 522.4M |
| Portfolio Manager | 0 |
| Both for Same | 1.3B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CUSTOM ASSET ALLOCATION PROGRAM | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. |
| STANDARD ASSET ALLOCATION PROGRAM | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. |
Principal Office
6256 GREENWICH DRIVESUITE 550
SAN DIEGO
CA
United States
Monday - Friday, MON-FRI 6:00AM TO 5:00PM
Tel: 858-964-0500, Fax: 858-964-0505
Chief Compliance Officer
VIKTORIA PALERMO
6256 GREENWICH DRIVE
STE 550
SAN DIEGO
CA
United States
Tel:
858-964-0500
Fax:
858-964-0505
V***************@*********M
(Full email address available in API data)
Regulatory Contact
JEFFREY DUNHAM
CEO
6256 GREENWICH DRIVE
SUITE 550
SAN DIEGO
CA
United States
Tel:
858-964-0505
Fax:
858-964-0505
J*************@*********M
(Full email address available in API data)
Industry Affiliates
| ASSET MANAGERS, INC. | Real estate broker or dealer |
| DUNHAM TRUST COMPANY | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUNHAM, JEFFREY ALAN | Individual | – | PRESIDENT | 09/1985 | < 5% |
| IVERSON, DENISE SUE MS. | Individual | – | CFO | 09/1999 | < 5% |
| DUNHAM, JEFFREY ALAN | Individual | DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | 01/2000 | > 75% |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | Domestic Entity | – | SHAREHOLDER | 01/2000 | > 75% |
| CAPIZZI, SALVATORE MICHAEL | Individual | – | CHIEF SALES AND MARKETING OFFICER | 01/2008 | < 5% |
| PALERMO, VIKTORIA IRENA | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| BOISCH, HELMUT | Individual | – | CHIEF OPERATIONS OFFICER | 03/2022 | < 5% |
| DYKMANS, RYAN JOHN | Individual | – | CHIEF INVESTMENT OFFICER | 07/2022 | < 5% |