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DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

dba DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. · CRD 165145 · Registered Investment Adviser

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. is a Registered Investment Adviser headquartered in BUFFALO, MN. The firm reports $382,859,944 in regulatory assets under management across 2,304 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$380,557,558
Non-discretionary$2,302,386
Total RAUM$382,859,944
Accounts2,304

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 165145. adviserinfo.sec.gov/firm/summary/165145.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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