{ "crd_number": 301868, "slug": "sundance-bay-salt-lake-city-ut-301868", "primary_business_name": "SUNDANCE BAY", "legal_name": "SUNDANCE BAY INVESTMENT MANAGER, LLC", "dbas": [ "SUNDANCE BAY" ], "city": "Salt Lake City", "state": "UT", "country": "United States", "cbsa_code": "41620", "metro": { "cbsa_code": "41620", "common_name": "Salt Lake City", "msa_name": "Salt Lake City-Murray, UT", "path": "/advisors/ut/salt-lake-city" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-04-23", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 2090635751.0, "raum_discretionary": 1993931489.0, "raum_non_discretionary": 96704262.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 69, "advisory_employees": 43, "client_count_bucket": null, "clients_by_type": { "state_municipal": { "raum": 4999626.0, "count": 1 }, "pooled_investment_vehicles": { "raum": 2085636125.0, "count": 7 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "UT" ], "websites": [ "https://linkedin.com/company/sundance-bay", "https://sundancebay.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/301868", "city_as_filed": "SALT LAKE CITY", "url": "https://advisorcensus.com/firm/sundance-bay-salt-lake-city-ut-301868", "display_name": "Sundance Bay", "summary": "Sundance Bay is an SEC-registered investment advisory firm in Salt Lake City, UT, registered since 2020, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Sundance Bay (CRD 301868): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Sundance Bay compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sundance Bay reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Sundance Bay located?", "a": "Sundance Bay's principal office is in Salt Lake City, UT, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Sundance Bay registered with the SEC or a state?", "a": "Sundance Bay is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 301868." }, { "q": "How much does Sundance Bay manage?", "a": "Sundance Bay reports $2,090,635,751 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (95% discretionary)." }, { "q": "How have Sundance Bay's assets and staff changed since 2021?", "a": "In the Form ADV data for Sundance Bay: Regulatory assets under management: $461,304,087 in the October 2021 data and $2,090,635,751 in the October 2026 data, up 353%. Total employees: 47 in October 2021 and 69 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Sundance Bay serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (7); state or municipal government entities (including government pension plans) (1)." }, { "q": "Does Sundance Bay report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/301868" }, { "q": "What changed in Sundance Bay's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 42 to 43." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 461304087.0, "total_employees": 47, "filing_date": "2021-07-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 718024835.0, "total_employees": 61, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 987801452.0, "total_employees": 78, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2021527724.0, "total_employees": 72, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2115951038.0, "total_employees": 70, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2090635751.0, "total_employees": 69, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 42 to 43." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/sundance-bay-salt-lake-city-ut-301868.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 7, "fewer_than_5": false, "raum": 2085636125.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 1, "fewer_than_5": false, "raum": 4999626.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/301868", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }