DOUGHERTY WEALTH ADVISERS LLC
Adviser information for DOUGHERTY WEALTH ADVISERS LLC last updated from Form ADV on March 15th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 185 | $300.2M |
| Non-Discretionary | 19 | $51.6M |
| Total | 204 | $351.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 20 | $4.5M |
| HNW Individuals | 57 | $337.9M |
| 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 | <5 | $9.5M |
| 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 | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Principal Office
861 LAKE STREET NORTHWAYZATA
MN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 612-376-4040, Fax: None
Chief Compliance Officer
TODD WITCRAFT
CHIEF EXECUTIVE OFFICER
861 LAKE STREET NORTH
WAYZATA
MN
United States
Tel:
612-376-4030
T********@******************M
(Full email address available in API data)
Regulatory Contact
KRISTINA BACKES
DIRECTOR OF OPERATIONS
861 LAKE STREET NORTH
WAYZATA
MN
United States
Tel:
612-376-4033
K******@******************M
(Full email address available in API data)
Industry Affiliates
| DOUGHERTY TAX AND ACCOUNTING LLC | Accountant or accounting firm |
| DOUGHERTY TRUST COMPANY | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DOUGHERTY, MICHAEL, EMMETT | Individual | MICHAEL E. DOUGHERTY REVOCABLE TRUST DATED MARCH 27, 2006 | TRUSTEE | 04/2014 | 50-75% |
| DOUGHERTY FINANCIAL GROUP LLC | Domestic Entity | – | MEMBER | 03/2012 | 50-75% |
| MICHAEL E. DOUGHERTY REVOCABLE TRUST DATED MARCH 27, 2006 | Domestic Entity | DOUGHERTY FINANCIAL GROUP LLC | MEMBER | 04/2014 | 50-75% |
| WITCRAFT, TODD, DAVID | Individual | – | CHIEF EXECUTIVE OFFICER, TREASURER, CCO | 03/2018 | 25-50% |
| 1119 HOLDINGS LLC | Domestic Entity | – | MEMBER | 01/2023 | 25-50% |
| WITCRAFT, TODD, DAVID | Individual | 1119 HOLDINGS LLC | MEMBER | 01/2023 | 25-50% |
| Dinzeo, Paul, John | Individual | 1119 HOLDINGS LLC | MEMBER | 01/2023 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMAZON COM INC COM | Stock | 436K | 2K | – |
| INVESCO QQQ TRUST SERIES I | ETF | 7K | 14 | – |
| TECHNOLOGY SELECT SECTOR SPDR FUND | ETF | 113K | 500 | – |
| STARBUCKS CORP COM | Stock | 146K | 2K | – |
| JOHNSON & JOHNSON COM | Stock | 211K | 1K | – |
| VANGUARD TOTAL STOCK MARKET ETF | ETF | 155K | 579 | – |
| HCA HEALTHCARE INC COM | Stock | 0 | 0 | – |
| ISHARES MSCI KLD 400 SOCIAL ETF | ETF | 27K | 258 | – |
| REAL ESTATE SELECT SECTOR SPDR FUND | ETF | 10K | 256 | – |
| LIBERTY MEDIA CORP DEL COM LBTY SRM S A | Stock | 33K | 1K | – |
| LIBERTY MEDIA CORP DEL COM LBTY SRM S C | Stock | 65K | 3K | – |
| ATLANTA BRAVES HLDGS INC COM SER C | Stock | 1K | 31 | – |
| IDEX CORP COM | Stock | 95K | 473 | – |
| VANGUARD REAL ESTATE ETF | ETF | 2M | 26K | – |
| INTEL CORP COM | Stock | 47K | 2K | – |
| MEDTRONIC PLC SHS | Stock | 39K | 500 | – |
| BLACKBAUD INC COM | Stock | 45K | 592 | – |
| MERCK & CO INC COM | Stock | 62K | 500 | – |
| SPDR S&P 500 ETF TRUST | ETF | 124K | 227 | – |
| SBA COMMUNICATIONS CORP NEW CL A | REIT | 81K | 415 | – |
| ALLSTATE CORP COM | Stock | 129K | 807 | – |
| CORNING INC COM | Stock | 56K | 1K | – |
| SHERWIN WILLIAMS CO COM | Stock | 50K | 169 | – |
| FAIR ISAAC CORP COM | Stock | 332K | 223 | – |
| SPDR GOLD SHARES | ETF | 27K | 125 | – |
| CONSUMER STAPLES SELECT SECTOR SPDR FUND | ETF | 450K | 6K | – |
| AON PLC SHS CL A | Stock | 193K | 659 | – |
| ISHARES CORE S&P SMALL CAP ETF | ETF | 2M | 17K | – |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 103K | 254 | – |
| ALPHABET INC CAP STK CL A | Stock | 787K | 4K | – |
| BRIDGEWATER BANCSHARES INC COM | Stock | 290K | 25K | – |
| OREILLY AUTOMOTIVE INC COM | Stock | 220K | 208 | – |
| MICROSOFT CORP COM | Stock | 1M | 3K | – |
| AMERIPRISE FINL INC COM | Stock | 258K | 603 | – |
| BOEING CO COM | Stock | 91K | 499 | – |
| COPART INC COM | Stock | 130K | 2K | – |
| VANGUARD MID-CAP ETF | ETF | 48K | 200 | – |
| NEXTERA ENERGY INC COM | Stock | 239K | 3K | – |
| BAIN CAP SPECIALTY FIN INC COM STK | CEF | 816 | 50 | – |
| VANGUARD HEALTH CARE ETF | ETF | 20K | 75 | – |
| FINANCIAL SELECT SECTOR SPDR FUND | ETF | 33K | 800 | – |
| NXP SEMICONDUCTORS N V COM | Stock | 177K | 659 | – |
| ASTRAZENECA PLC SPONSORED ADR | ADR | 101K | 1K | – |
| INVESCO S&P 500 EQUAL WEIGHT ETF | ETF | 82K | 500 | – |
| VANGUARD TOTAL INTERNATIONAL STOCK ETF | ETF | 41K | 674 | – |
| ISHARES RUSSELL MID-CAP VALUE ETF | ETF | 184K | 2K | – |
| ISHARES RUSSELL 2000 ETF | ETF | 36K | 177 | – |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | ETF | 6M | 52K | – |
| ISHARES RUSSELL MID-CAP GROWTH ETF | ETF | 3M | 29K | – |
| VANGUARD SMALL CAP VALUE ETF | ETF | 776K | 4K | – |
| LANDSTAR SYS INC COM | Stock | 59K | 321 | – |
| VISA INC COM CL A | Stock | 506K | 2K | – |
| PROSHARES BITCOIN STRATEGY ETF | ETF | 2K | 75 | – |
| VANGUARD VALUE ETF | ETF | 27M | 166K | – |
| VANGUARD GROWTH ETF | ETF | 33M | 89K | – |
| L3HARRIS TECHNOLOGIES INC COM | Stock | 36K | 162 | – |
| ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF | ETF | 8K | 66 | – |
| META PLATFORMS INC CL A | Stock | 703K | 1K | – |
| PACKAGING CORP AMER COM | Stock | 127K | 696 | – |
| COLLIERS INTL GROUP INC SUB VTG SHS | Stock | 2K | 20 | – |
| BROADCOM INC COM | Stock | 8K | 5 | – |
| WEX INC COM | Stock | 38K | 214 | – |
| ISHARES CORE MSCI TOTAL INTERNATIONAL STOCK ETF | ETF | 3M | 43K | – |
| ACCENTURE PLC IRELAND SHS CLASS A | Stock | 200K | 658 | – |
| ABBVIE INC COM | Stock | 110K | 642 | – |
| LIBERTY MEDIA CORP DEL COM LBTY ONE S A | Stock | 24K | 367 | – |
| TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS | ADR | 223K | 1K | – |
| ANSYS INC COM | Stock | 136K | 424 | – |
| GRACO INC COM | Stock | 70K | 877 | – |
| LIBERTY MEDIA CORP DEL COM LBTY LIV S C | Stock | 29K | 766 | – |
| LIBERTY MEDIA CORP DEL COM LBTY LIV S A | Stock | 14K | 382 | – |
| CISCO SYS INC COM | Stock | 102K | 2K | – |
| CDW CORP COM | Stock | 92K | 410 | – |
| MOTOROLA SOLUTIONS INC COM NEW | Stock | 176K | 456 | – |
| INDUSTRIAL SELECT SECTOR SPDR FUND | ETF | 394K | 3K | – |
| METTLER TOLEDO INTERNATIONAL COM | Stock | 68K | 49 | – |
| WELLS FARGO CO NEW COM | Stock | 18K | 299 | – |
| UNION PAC CORP COM | Stock | 670K | 3K | – |
| SALESFORCE INC COM | Stock | 398K | 2K | – |
| NORTHROP GRUMMAN CORP COM | Stock | 200K | 459 | – |
| IDEXX LABS INC COM | Stock | 93K | 190 | – |
| VANGUARD MID-CAP VALUE ETF | ETF | 10M | 67K | – |
| LOCKHEED MARTIN CORP COM | Stock | 216K | 462 | – |
| JPMORGAN CHASE & CO. COM | Stock | 758K | 4K | – |
| CHEVRON CORP NEW COM | Stock | 3K | 20 | – |
| DANAHER CORPORATION COM | Stock | 196K | 786 | – |
| BANK AMERICA CORP COM | Stock | 121K | 3K | – |
| VANGUARD FTSE EMERGING MARKETS ETF | ETF | 4M | 95K | – |
| VANGUARD HIGH DIVIDEND YIELD INDEX ETF | ETF | 2M | 16K | – |
| ALPHABET INC CAP STK CL C | Stock | 852K | 5K | – |
| ISHARES CORE S&P US VALUE ETF | ETF | 39K | 441 | – |
| VANGUARD DIVIDEND APPRECIATION ETF | ETF | 46K | 250 | – |
| ISHARES 20 YEAR TREASURY BOND ETF | ETF | 642 | 7 | – |
| LIBERTY MEDIA CORP DEL COM LBTY ONE S C | Stock | 53K | 735 | – |
| LIBERTY BROADBAND CORP COM SER A | Stock | 20K | 367 | – |
| LIBERTY BROADBAND CORP COM SER C | Stock | 44K | 801 | – |
| COLUMBIA SPORTSWEAR CO COM | Stock | 41K | 518 | – |
| FIRST AMERN FINL CORP COM | Stock | 48K | 894 | – |
| LAM RESEARCH CORP COM | Stock | 21K | 20 | – |
| PNC FINL SVCS GROUP INC COM | Stock | 182K | 1K | – |
| ISHARES RUSSELL 3000 ETF | ETF | 54K | 175 | – |
| UNITEDHEALTH GROUP INC COM | Stock | 274K | 538 | – |
| TRAVELERS COMPANIES INC COM | Stock | 128K | 628 | – |
| LOWES COS INC COM | Stock | 154K | 697 | – |
| ISHARES MSCI ACWI LOW CARBON TARGET ETF | ETF | 19K | 105 | – |
| BLACKROCK INC COM | Stock | 90K | 114 | – |
| ISHARES CORE S&P MID-CAP ETF | ETF | 34K | 588 | – |
| BIO-TECHNE CORP COM | Stock | 74K | 1K | – |
| ISHARES MSCI EAFE ETF | ETF | 2M | 24K | – |
| APPLE INC COM | Stock | 5M | 23K | – |
| MARSH & MCLENNAN COS INC COM | Stock | 75K | 355 | – |