Investment adviser · CRD 108603

DUNVEGAN ASSOCIATES INC

Investment adviser filing (IA)

SANTA BARBARA, CA, United States · Form ADV filed Jul 12, 2017

Regulatory AUM
$24.2M
Form ADV · Item 5.F
Client accounts
6
Accounts, not individual clients
Employees
1
Reported in this filing
Advisory professionals
1
Investment advisory functions

Private funds & service providers

8 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

DUNVEGAN GROWTH FUND, LLCOther Private Fund · Last reported Mar 31, 2015$6.13MGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-8167379884
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DUNVEGAN BALANCED FUNDOther Private Fund · Last reported Mar 31, 2015$4.01MGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BMO CAPITAL MARKETS GKST INC. CHICAGO, Illinois, United States
Prime broker KNIGHT CAPITAL AMERICAS, L.P. JERSEY CITY, New Jersey, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

BMO CAPITAL MARKETS GKST INC.
CRD 8352 · SEC 8-25091

KNIGHT CAPITAL AMERICAS, L.P.
CRD 38599 · SEC 8-48311

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-9776482226
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DUNVEGAN AGGRESSIVE, LLCOther Private Fund · Last reported Mar 31, 2015$2.81MGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-5873673132
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DUNVEGAN INTERNATIONAL FUND, LLCOther Private Fund · Last reported Mar 31, 2015$2.2MGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-2204409879
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DUNVEGAN MONEY MARKET FUND, LLCOther Private Fund · Last reported Mar 31, 2015$749KGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker BMO CAPITAL MARKETS GKST INC. CHICAGO, Illinois, United States
Prime broker KNIGHT CAPITAL AMERICAS, L.P. JERSEY CITY, New Jersey, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

BMO CAPITAL MARKETS GKST INC.
CRD 8352 · SEC 8-25091

KNIGHT CAPITAL AMERICAS, L.P.
CRD 38599 · SEC 8-48311

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-4123011462
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DALARNE PARTNERS LPHedge Fund · Last reported Mar 31, 2015$557KGross asset value
Auditor MACFARLANE, FALETTI AND CO. SANTA BARBARA, California, United States
Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States
Prime broker JEFFERIES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

CHARLES SCHWAB & CO., INC.
SEC 8-16514

INTERACTIVE BROKERS LLC
SEC 8-47257

JEFFERIES LLC
SEC 8-15074

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

JEFFERIES LLC
CRD 2347 · SEC 8-15074

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-5640199119
Reported beneficial owners
25,000
Minimum commitment
$25K

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DUNVEGAN GROWTH ETF FUND, LLCOther Private Fund · Last reported Mar 31, 2015$354KGross asset value
Auditor MC ACCOUNTING NEW ROCHELLE, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-4325981921
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 889701 · Mar 31, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 12, 2017. View historical filings

Reported services

Individual portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

1114 STATE STREET
SANTA BARBARA, CA, 93101, United States

CRD 108603

Filing source

Form ADV 1127343 · Jul 12, 2017 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.