{"url":"https://nivawealth.com/firms/johnson-dunn-capital-advisors-320849","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/320849","regulatoryAum":156116000,"crd":"320849","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"861857","suffix":null,"lastName":"DUNN","firstName":"KEITH","middleName":"DUANE"}],"total":1,"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":"2022-06-29","regulatoryAum":0,"clients":0,"employees":1,"offices":1},{"filedOn":"2023-03-14","regulatoryAum":96109000,"clients":25,"employees":1,"offices":1},{"filedOn":"2024-03-20","regulatoryAum":110055000,"clients":67,"employees":1,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":136428000,"clients":63,"employees":1,"offices":1},{"filedOn":"2026-07-16","regulatoryAum":156116000,"clients":72,"employees":1,"offices":1}],"secFileNumber":"801-125028","legalName":"Johnson Dunn Capital 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BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052060","versionId":1052060,"submittedOn":"2026-07-16"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":156116000}],"custodyNote":"Johnson Dunn Capital Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Timmi Barker","title":"CCO","crd":"5774664"},{"name":"Keith Dunn","title":"Managing Director","crd":"861857"}],"ownership":[{"label":"Keith Dunn","detail":"Managing director in the 75% or more ownership band and a control person, since March 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"727-808-9936","stateRegisteredReps":1,"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":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":5},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"16 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/320849/PDF/320849.pdf","brochureDate":"16 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052060","iapdCompiledDate":null,"retrievedDate":"15 October 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They include 39 individual clients and 33 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Johnson Dunn Capital Advisors offer?","answer":"Johnson Dunn Capital Advisors provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Johnson Dunn Capital Advisors charge?","answer":"Johnson Dunn Capital Advisors charges up to 1.00% a year for its Asset Management Fees. The fee is billed in advance, is negotiable and requires an account of at least $1,000,000.","source":"JOHNSON DUNN CAPITAL ADVISORS BROCHURE, filed 16 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Johnson Dunn Capital Advisors use?","answer":"Johnson Dunn Capital Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $156M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Johnson Dunn Capital Advisors have?","answer":"Johnson Dunn Capital Advisors has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Johnson Dunn Capital Advisors invest in?","answer":"At the end of its last fiscal year, Johnson Dunn Capital Advisors’ separately managed accounts held 79% exchange-traded equities, 13% cash and equivalents, 5% investment grade corporate bonds, 2% U.S. government and agency bonds and 1% state and local 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":"Does Johnson Dunn Capital Advisors have a minimum investment?","answer":"Yes, Johnson Dunn Capital Advisors’ minimum account size for its Asset Management Fees is $1M.","source":"JOHNSON DUNN CAPITAL ADVISORS BROCHURE, filed 16 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Johnson Dunn Capital Advisors?","answer":"Johnson Dunn Capital Advisors’ direct owner is Keith Dunn (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Johnson Dunn Capital Advisors get paid?","answer":"Johnson Dunn Capital Advisors 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 Johnson Dunn Capital Advisors?","answer":"Its phone number is 727-808-9936. Its website is johnsondunncapitaladvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 July 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."}