← Tributary

DUNHAM

SAN DIEGO, CA · CRD 13162 · IAPD ↗ · 858-964-0500

$5.63BRegulatory AUM
9Advisory reps
43Employees
13200Clients
0Planning clients
1Private funds
14States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — DUNHAM notice-filed in OR, UT, WA, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
75
April 2026 — DUNHAM now reports 1 private fund(s) ($0 gross).
Firm reports private funds for the first time.
Fund administrationCompliance
60
December 2025 — DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. is now doing business as DUNHAM.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
65
April 2025 — DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. reported RAUM up 26% ($3.76B -> $4.74B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
51
April 2024 — DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. notice-filed in NJ, NY, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2024 — DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. reported RAUM up 30% ($2.90B -> $3.76B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
74
April 2024 — DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. grew from 5 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.