Asset manager · Monroe, CT
Dunbar Associates, LLC
SEC-registered investment adviser · CRD 323134 · SEC 801-126791
At a glance
Dunbar Associates, LLC is an SEC-registered investment adviser based in Monroe, Connecticut, with $307 million in regulatory assets under management as of its Form ADV filed August 5, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 204 individual clients. By Form ADV it is a asset manager, ranked 1,924th of 3,218 asset managers and 10,036th of 17,210 SEC-registered advisers by assets.
Main office 203-880-5716dunbarassociatesllc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $307M
- Rank among asset managers
- #1,924 of 3,218
- Rank among all SEC RIAs
- #10,036 of 17,210
- Rank in Connecticut
- #369 of 507
- Individual clients
- 204
- High-net-worth clients
- 101
- Accounts
- 312
- Discretionary
- 78% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Michele K. DunbarManaging Member / Managing Partner / Chief Compliance Officer
- ROBERT G. DUNBARManaging Partner
- Keith CuomoDirector of Wealth Management
Custody and brokerage
Broker-dealer
Hybrid RIA
Dunbar Associates, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names Chelsea Financial Services as the broker-dealer its advisers are registered with.
Compensation for Sales of Securities Broker-Dealer Affiliations Certain Advisory Persons are also a registered representative of Chelsea Financial Services.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 98 | $146M | 47% |
| High-net-worth individuals | 101 | $96M | 31% |
| Corporations or other businesses | 6 | $34M | 11% |
| Individuals | 103 | $31M | 10% |
Disciplinary disclosures
Dunbar Associates, LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗dunbarassociatesllc.com ↗
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The full record on Dunbar Associates, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 933 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Dunbar Associates, LLC manage?
Dunbar Associates, LLC reports $307 million in regulatory assets under management across 312 accounts, 78% of it on a discretionary basis, on its Form ADV filed August 5, 2026.
What kind of firm is Dunbar Associates, LLC?
Dunbar Associates, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Dunbar Associates, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($146 million, 98 clients); high-net-worth individuals ($96 million, 101 clients); corporations or other businesses ($34 million, 6 clients).
Does Dunbar Associates, LLC have any disciplinary history?
Dunbar Associates, LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Dunbar Associates, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-05), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →