Dunvegan Associates Inc

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Client assets under management

$46,416,348

Clients

100% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$2,578,686

About

Dunvegan Associates is an independent registered investment adviser that provides discretionary portfolio management and wealth management services to individual clients, including high-net-worth individuals and trusts. The firm manages a relatively small client base with roughly $46 million in regulatory assets under management and does not offer wrap-fee programs.

Investment decisions are driven by an in-house, research-oriented approach that combines fundamental and technical analysis to identify industry leaders and mispriced opportunities; equity selection emphasizes balance-sheet strength and dividend yield while fixed-income choices consider duration and after-tax yield. Client goals, taxability, liquidity needs, and account form are assessed at onboarding and through periodic reviews, and holdings are monitored on a weekly basis.

A notable, uncommon feature is that the firm applies a performance-based compensation arrangement to a single client account that is managed by an outside consultant under the firm’s supervision, a structure the brochure discloses and monitors. The firm also highlights a long institutional research heritage, a formal Code of Ethics, an absence of soft-dollar benefits, and documented business-continuity procedures consistent with a small, research-focused practice.

Client services

Portfolio management

Expertise

Active portfolio management Concentrated stock management

Fee options

Percentage

$0 - $5,000,000: 1.00% $5,000,000 - $10,000,000: 0.95% $10,000,000 - $50,000,000: 0.90% $50,000,000+: 0.55%

Performance-based

One specific account (KFB Montevideo) is charged a 1.50% annual fee plus a 10% performance fee with a high water mark.

Other

Fee-only: Annual management fee starting at 1.00% for the first $5 million, decreasing by 0.05% for each additional $5 million up to $50 million, then 0.55% above $50 million; fees billed quarterly in advance.

Main office location

Dunvegan Associates Inc

1114 State Street

Santa Barbara CA 93101, United States

Number of offices

Most active in

California · North Carolina · Texas

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 805-969-5432

Advisors at this firm

Alvin M

Series 65

Santa Barbara, CA

Dunvegan Associates Inc

Alvin Moore is the sole advisor at Dunvegan Associates Inc in Santa Barbara, CA, holding a Series 65 credential with 22 years of industry experience. He has been associated with Dunvegan Associates since 1974 and Sylva Partners, LP since 1972, the latter of which he wholly owns and which develops proprietary algorithms for identifying macro-economic trends. Dunvegan Associates is an independent registered investment adviser serving individual clients, including high-net-worth individuals and trusts, through discretionary portfolio and wealth management. The firm employs a research-driven approach combining fundamental and technical analysis to select equities and fixed-income investments, tailoring portfolios to client goals, tax status, and liquidity needs.

Active portfolio management Concentrated stock management

Nicholas B

Series 65

Oakland, CA

Dunvegan Associates Inc

Nicholas Bell is a financial advisor with Dunvegan Associates Inc. in Oakland, CA. He holds a Series 65 designation and has two years of industry experience. He has been with Dunvegan Associates since 2010. Dunvegan Associates is an independent registered investment adviser that provides discretionary portfolio and wealth management services to individual clients, including high-net-worth individuals and trusts. The firm uses a research-driven approach combining fundamental and technical analysis, emphasizing balance-sheet strength and dividend yield in equity selection, and considers duration and after-tax yield in fixed-income choices.

Active portfolio management Concentrated stock management

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