Dunham Earns Three Finalist Honors in 2026 InvestmentNews Excellence Awards

Firm recognized for Asset Manager of the Year, Compliance Team of the Year, and Wholesaler of the Year

SAN DIEGO--(BUSINESS WIRE)--Dunham & Associates Investment Counsel, Inc. (“Dunham”), a San Diego-based asset management and trust services firm with more than 40 years asset management experience, has been named a finalist in three categories of the 2026 InvestmentNews Excellence Awards: the Prudential Advisors Award for Asset Manager of the Year, Back Office Support — Compliance Team of the Year, and Wholesaler of the Year for Regional Director Rob Pancrazi.

The InvestmentNews Excellence Awards recognize outstanding innovation and service across the financial advisory industry.

ASSET MANAGER OF THE YEAR

The Asset Manager of the Year category honors firms that demonstrate innovation, advisor education, and sustained commitment to the advisor channel. Dunham's recognition reflects a year of meaningful progress across investment performance, product development, and advisor support. Over the past 12 months, Dunham grew assets under management (AUM) and assets under administration (AUA) from $6.4 billion to $8.25 billion as of June 17, 2026, grew DunhamDC — a proprietary tactical investment overlay — and advanced a comprehensive retirement income framework designed to help advisors address the long-term impact of inflation on client portfolios.

“In early 2025, when markets went through that sharp, 'Liberation Day'-style volatility, DunhamDC did exactly what we built it to do,” said Salvatore M. Capizzi, CS&M) “The overlay kept issuing disciplined buy and sell signals — leaning into equities while many investors were panicking, then methodically trimming risk into the recovery. What impressed me most wasn't just the performance; it was the shift in behavior. Instead of calling in fear, some of our largest clients were calling to ask, 'Are we buying today?' That's when you know the process is working.”

COMPLIANCE TEAM OF THE YEAR

The Back Office Support — Compliance Team of the Year category recognizes teams that have demonstrated effectiveness over the past 12 months in simplifying complex regulatory requirements while providing clear guidance and support to advisors and internal stakeholders. Selection was based on criteria including regulatory expertise, responsiveness and accuracy, scalability in managing compliance processes, and innovation and process improvement.

Dunham's Compliance team earned this nomination through a combination of streamlined workflows, technology-enabled processes, and an approach that integrates compliance functions with broader business operations.

As Dunham expanded its AUA and relaunched three distinct websites - Dunham, Dunham Trust, and Dunham Private Trust - the Compliance team adapted its processes to support these changes.

The team adopted RedOak, an advertising and marketing review platform that centralizes approval, review, and archiving of marketing materials in one place. The result: faster turnaround on advisor-facing content, with no shortcuts on thoroughness.

“A lot changed at Dunham over the past year — new websites, continued AUA growth, expanded marketing output,” said Viktoria Palermo, CRCP®, CICCP, CSCP, Chief Compliance Officer at Dunham. “Our team worked to address these evolving demands by implementing systems and workflows designed to support consistency and oversight across the firm.”

WHOLESALER OF THE YEAR - ROB PANCRAZI

In the Wholesaler of the Year category, Dunham Regional Director Robert L. (Rob) Pancrazi has been named a finalist for his performance and hands-on advisor partnership across one of the country's most competitive territories. Over the past five years, Rob helped grow his Northeast region from ~$200 million to more than $500 million in assets under management, while building dozens of new advisor relationships and maintaining strong retention among his core producers.

Rob’s approach prioritizes accessibility and deep planning support — leading with trust and estate strategies and drawing on the broader expertise of the Dunham team in San Diego and at Dunham Trust Company. He is known among advisors for his availability, his willingness to work through complex client situations, and his commitment to showing up when it matters most.

“I don't see my role as just bringing a fund into an office,” said Rob. “I'm bringing planning tools, trust strategies, and the full intellectual capital of Team Dunham to every conversation. My job is to be there when advisors need me most — especially in volatile markets — and to help them build the kind of client relationships that last for decades. The recognition is an honor, but for me it's really about seeing our advisors and their clients succeed.”

AWARD METHODOLOGY

Nominated “InvestmentNews Excellence Awards” for the categories: Asset Manager of the Year, Compliance Team of the Year and Wholesaler of the Year by InvestmentNews in 2026. Based on data from December 2025 – February 2026.

See full nomination methodology at https://lnkd.in/ege6VYZd.

Final winners will be announced in June 2026 and are selected through a five-stage process: open nominations; internal research by InvestmentNews; submission of detailed materials by selected excellence awardees; review by an independent panel of industry leaders using defined criteria; and final selection via a panel assessment panel and voting for winners in each category according to the relevant category criteria. No fee is required to enter. Recognition is not indicative of future performance and does not guarantee client satisfaction or success. Awards are based on information submitted by the adviser and should not be construed as an endorsement by, nor representative of, any client’s experience. Dunham has not provided compensation (directly or indirectly) to obtain, use, or distribute this third-party award nomination. Dunham and its affiliates are not affiliated with InvestmentNews or any of their affiliates.

ABOUT DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.

Dunham & Associates Investment Counsel, Inc. is a San Diego-based Registered Investment Adviser and Broker/Dealer with more than 40 years of experience serving independent financial advisors and RIAs. The firm's TAMP platform provides access to institutional investment management, trust services through Dunham Trust, Wyoming-based private trust solutions through Dunham Private Trust, and a suite of proprietary mutual funds backed by a performance-aligned, fulcrum-fee model. To learn more, visit Dunham.com.

Dunham & Associates Investment Counsel, Inc. is a Registered Investment Adviser and Broker/Dealer. Member FINRA / SIPC. Advisory services and securities offered through Dunham & Associates Investment Counsel, Inc.

Trust services offered through Dunham Trust, an affiliated Nevada Trust Company. Dunham Private Trust is the Wyoming division of Dunham Trust.