{"url":"https://nivawealth.com/firms/gunn-and-company-investment-management-120084","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120084","regulatoryAum":213528643,"crd":"120084","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1210021","suffix":"JR","lastName":"GUNN","firstName":"MARSHALL","middleName":"DEAN"},{"crd":"2450665","suffix":null,"lastName":"HUGHES","firstName":"SUSAN","middleName":"RAE"},{"crd":"5440059","suffix":null,"lastName":"MCCABE","firstName":"SHAWN","middleName":"JOSEPH"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":189798253,"clients":288,"employees":9,"offices":1},{"filedOn":"2022-04-05","regulatoryAum":248095055,"clients":622,"employees":8,"offices":1},{"filedOn":"2023-06-13","regulatoryAum":132383748,"clients":161,"employees":4,"offices":1},{"filedOn":"2024-07-31","regulatoryAum":167623994,"clients":169,"employees":4,"offices":1},{"filedOn":"2025-04-22","regulatoryAum":194512152,"clients":176,"employees":5,"offices":1},{"filedOn":"2026-02-19","regulatoryAum":213528643,"clients":183,"employees":5,"offices":1}],"secFileNumber":"801-112077","legalName":"Gunn & Company Investment Management, Inc.","displayName":"Gunn & Company Investment Management","slug":"gunn-and-company-investment-management-120084","website":"https://gunncoim.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1996","organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"13901 Sutton Park Drive South, Suite 130","city":"Jacksonville","state":"FL","stateName":"Florida","country":"United States","postalCode":"32224"},"tradeNames":[],"registration":{"secApproved":"27 November 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2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010264","versionId":1010264,"submittedOn":"2026-02-19"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":211794501}],"custodyNote":"Gunn & Company Investment Management has custody of $5.99M for 4 clients.","otherCustodians":[],"leadership":[{"name":"Elizabeth DeWitt","title":"Vice President / Secretary","crd":"7307392"},{"name":"Marshall Gunn","title":"President","crd":"1210021"},{"name":"Shawn McCabe","title":"Executive Vice President / Chief Compliance Officer","crd":"5440059"},{"name":"Renee Morrell","title":"Vice President / Treasurer","crd":"2450658"}],"ownership":[{"label":"Marshall Gunn","detail":"President in the 25% to 50% ownership band and a control person, since November 1996."},{"label":"Renee Morrell","detail":"Vice president / treasurer in the 10% to 25% ownership band and a control person, since July 2015."},{"label":"Elizabeth DeWitt","detail":"Vice president / secretary in the 5% to 10% ownership band and a control person, since October 2020."},{"label":"Shawn McCabe","detail":"Executive vice president / chief compliance officer in the 25% to 50% ownership band and a control person, since January 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"13901 Sutton Park Drive South, Suite 130","city":"Jacksonville","headquarters":true}]}],"brochureServices":["estate planning","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"904-296-2025","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":31},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":1,"detail":"Mixed Asset Categories All Less Than 1%: Pooled Investment Other Than Investment Company Or BDC, Investment Grad Corporate Bonds, U.S. Government/Agency Bonds."}],"privateFunds":0},"sources":{"adv1FilingDate":"19 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120084/PDF/120084.pdf","brochureDate":"19 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010264","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Gunn & Company Investment Management have?","answer":"Gunn & Company Investment Management has 183 clients and manages $214 million for them, as of February 2026. They include 114 individual clients, 58 high-net-worth individuals, and 10 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gunn & Company Investment Management offer?","answer":"Gunn & Company Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, and retirement plan services.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Gunn & Company Investment Management use?","answer":"Gunn & Company Investment Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $212M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gunn & Company Investment Management have?","answer":"Gunn & Company Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Gunn & Company Investment Management invest in?","answer":"At the end of its last fiscal year, Gunn & Company Investment Management’s separately managed accounts held 63% exchange-traded equities, 31% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 1% high-yield corporate bonds and 1% other. The 1% other category is described as: Mixed Asset Categories All Less Than 1%: Pooled Investment Other Than Investment Company Or BDC, Investment Grad Corporate Bonds, U.S. Government/Agency Bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Gunn & Company Investment Management?","answer":"Gunn & Company Investment Management’s direct owners are Marshall Gunn, Renee Morrell, Elizabeth DeWitt and Shawn McCabe, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 19 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gunn & Company Investment Management get paid?","answer":"Gunn & Company Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Gunn & Company Investment Management?","answer":"Gunn & Company Investment Management’s main office is at 13901 Sutton Park Drive South, Suite 130, Jacksonville, FL 32224. Its phone number is 904-296-2025. Its website is gunncoim.com.","source":"Form ADV Part 1A, Item 1.F, filed 19 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}