Dunvegan Associates Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Dunvegan Associates, Inc. is a small, independent wealth manager that provides continuous, discretionary portfolio management and wealth-planning services to individuals — including high-net-worth clients — and trusts. The firm develops client financial goals at an initial meeting and updates them through periodic reviews, and it does not participate in wrap-fee programs.
The firm applies a research-driven investment process combining fundamental and technical analysis and a global macro outlook to identify equity and fixed-income opportunities, emphasizing valuation, dividend yield, balance-sheet strength and appropriate duration. Dunvegan practices more active management and discretionary trading, with weekly account reviews led by its president to align market views with clients’ tax, liquidity and risk considerations.
Dunvegan is long-established (founded in 1974) and operates with a compact team centered on a long-tenured president who also serves as Chief Compliance Officer and personally reviews accounts, an arrangement that gives it a solo-practitioner operational character despite having multiple advisors. Unusually for firms of its size, it discloses a performance-based fee arrangement on at least one client account (managed under supervision by an outside, family-affiliated advisor), and it states policies against accepting sales-based third-party compensation and against ongoing soft-dollar arrangements.
Client services
Expertise
Fee options
$0 - $5,000,000: 1.00% $5,000,000 - $50,000,000: 0.05% concession per each additional $5,000,000 $50,000,000+: 0.55%
One account (KFB Montevideo) is subject to a 1.50% annual fee plus a 10% performance fee with a high water mark.
Main office
See office1114 State Street
Santa Barbara CA 93101
Advisors at this office
1
Offices (2)
Most active in
California · North Carolina · Texas
Also doing business as
Dunvegan Associates Inc · Dunvegan Associates, Inc. · Dunvegan.Com · Spytrader · Spytrader.Com
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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.
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.
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