DORSEY, WRIGHT & ASSOCIATES, LLC
Adviser information for DORSEY, WRIGHT & ASSOCIATES, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 824 | $578.9M |
| Non-Discretionary | 0 | $0 |
| Total | 824 | $578.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 380 | $65.0M |
| HNW Individuals | 407 | $210.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $264.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 10 | $10.0M |
| Charitable organizations | 6 | $3.5M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $13.4M |
| Corporations or other businesses | 12 | $11.6M |
| Other | <5 | $314,674 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshopsRESEARCH & CHART SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 257.1M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WELLS FARGO ADVISORS MASTERS | WELLS FARGO ADVISORS |
| MORGAN STANLEY & COMPANY | MORGAN STANLEY & CO. LLC |
| RAYMOND JAMES OUTSIDE MANAGER (OSM) | RAYMOND JAMES FINANCIAL, INC. |
| RBC WEALTH MANAGEMENT MAP PLATFORM | RBC WEALTH MANAGEMENT |
| MERRILL LYNCH | BANK OF AMERICA, MERRILL LYNCH |
| UBS FINANCIAL SERVICES, INC. | UBS FINANCIAL SERVICES INC. |
| HILLIARD LYONS | WELLS FARGO ADVISORS |
| KOVACK ADVISORS CHOICE | KOVACK ADVISORS, INC. |
| PERSHING ADVISORS SOLUTIONS | PERSHING ADVISOR SOLUTIONS LLC |
Identifiers
| SEC RIA File Number | 801-29045 |
|---|---|
| SEC ERA File Number | 801-29045 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104925 |
| Legal Entity Identifier | None |
Principal Office
3300 W LEIGH STREETRICHMOND
VA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 804-320-8511, Fax: None
Chief Compliance Officer
LISA P. JOHNSON
CHIEF COMPLIANCE OFFICER
805 KING FARM BOULEVARD
ROCKVILLE
MD
United States
Tel:
3016937057
Fax:
804-320-8577
L***********@*********M
(Full email address available in API data)
Regulatory Contact
BRENDA HINTON- MILLER
VICE PRESIDENT
165 BROADWAY
NEW YORK
NY
United States
Tel:
212 381 6440
B*******************@*********M
(Full email address available in API data)
Industry Affiliates
| NASDAQ CAPITAL MARKETS ADVISORY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NASDAQ EXECUTION SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NFSTX, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NPM SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NASDAQ, INC. | Domestic Entity | – | OWNER | 01/2015 | 25-50% |
| GRANITE REDUX, INC. | Domestic Entity | – | MANAGING MEMBER | 01/2015 | 25-50% |
| GRANITEBLOCK, INC. | Domestic Entity | – | OWNER | 01/2015 | 10-25% |
| NASDAQ, INC. | Domestic Entity | GRANITE REDUX, INC. | OWNER | 01/2015 | > 75% |
| NASDAQ, INC. | Domestic Entity | GRANITEBLOCK, INC. | OWNER | 01/2015 | > 75% |
| JOHNSON, LISA, PATTON | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |
| LEWIS, JOHN, GUNNARD | Individual | – | SENIOR VICE PRESIDENT, DORSEY WRIGHT & ASSOCIATES, LLC | 08/2020 | < 5% |
| spurling, emily, elisabeth | Individual | – | SENIOR VICE PRESIDENT, NASDAQ | 01/2022 | < 5% |