DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Adviser information for DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. last updated from Form ADV on March 8th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,326 | $306.3M |
| Non-Discretionary | 1 | $1.4M |
| Total | 2,327 | $307.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,023 | $170.8M |
| HNW Individuals | 64 | $136.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-93169 |
|---|---|
| SEC ERA File Number | 801-93169 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165145 |
| Legal Entity Identifier | None |
Principal Office
103 MARTY DRIVESUITE 101
BUFFALO
MN
United States
Monday - Friday, 7:30 AM - 5:00 PM
Tel: 763-682-4014, Fax: 763-682-4461
Chief Compliance Officer
DILLON DOUGHERTY
CFO, TREASURER
103 MARTY DRIVE
SUITE 101
BUFFALO
MN
United States
Tel:
763-682-4014
Fax:
763-682-4461
D***************@***********M
(Full email address available in API data)
Regulatory Contact
DANIEL DOUGHERTY
CEO, PRESIDENT, SECRETARY
103 MARTY DRIVE
SUITE 101
BUFFALO
MN
United States
Tel:
763-682-4014
Fax:
763-682-4461
D************@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Dougherty, Dillon, Lee | Individual | – | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER | 09/2020 | 50-75% |
| DOUGHERTY, DANIEL, JOHN | Individual | – | CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER | 09/2020 | 50-75% |