Dunbar Associates, LLC
Registered investment adviser · Monroe, CT · CRD #323134
Form ADV data as of 2026-09-01Regulatory assets
$307.5 million
Total accounts
312
Employees
3
Disclosure events
2
Firm details
- Website: https://dunbarassociatesllc.com
- Telephone: (203) 880-5716
- SEC file number: 801-126791
- Most recent Form ADV filing: 2026-08-05
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
- Another regulator found a violation of investment-related regulations or statutes
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $241.3 million |
| Non-discretionary regulatory assets under management | $66.2 million |
| Total regulatory assets under management | $307.5 million |
| Discretionary accounts | 227 |
| Non-discretionary accounts | 85 |
| Total accounts | 312 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 3 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 2 |
| Employees registered as investment adviser representatives with a state | 2 |
| Employees registered as IARs for another investment adviser | 1 |
| Employees who are licensed insurance agents | 3 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 103 | $31.5 million |
| High net worth individuals | 101 | $96.5 million |
| Pension and profit sharing plans (not the participants or government plans) | 98 | $145.6 million |
| Corporations or other businesses not listed above | 6 | $34.0 million |