Dougherty & Associates Financial Advisors, Inc.
● SEC registered since 2015CRD 165145SEC# 801-93169Buffalo, MN
Reg. AUM
$382.9M
Employees
9
Accounts
2,304
Location
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc. assets under management
Dougherty & Associates Financial Advisors, Inc. is an investment advisory firm registered with the SEC based in Buffalo, MN. The firm has been registered since 2015. It reports $382.9 million in regulatory assets under management and employs 9 people.
Dougherty & Associates Financial Advisors, Inc. owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Daniel John Dougherty Control | Chief Executive Officer, President, Director, Secretary, Owner | 50-75% | 2020 |
| Dillon Lee Dougherty Control | Chief Financial Officer, Chief Compliance Officer, Director, Treasurer, Owner | 50-75% | 2020 |
Frequently asked questions
How much does Dougherty & Associates Financial Advisors, Inc. manage?
Dougherty & Associates Financial Advisors, Inc. reports $382.9 million in regulatory assets under management on its Form ADV.
How many employees does Dougherty & Associates Financial Advisors, Inc. have?
Dougherty & Associates Financial Advisors, Inc. reports 9 employees.
Where is Dougherty & Associates Financial Advisors, Inc. located?
Dougherty & Associates Financial Advisors, Inc. is based in Buffalo, MN and has been SEC-registered since 2015.
Does Dougherty & Associates Financial Advisors, Inc. disclose fund performance?
Dougherty & Associates Financial Advisors, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 103 Marty Drive, Suite 101, Buffalo, MN 55313 |
| Phone | 763-682-4014 |
| Fax | 763-682-4461 |
| Office hours | 7:30 a.m. - 5:00 p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$382.9M▲ 8%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 55%
Larger than 45% of 16,271 advisers
EmployeesTop 43%
More than 57% of 16,825 advisers
Assets under management
$382.9Mregulatory AUM
Discretionary $380.6MNon-discretionary $2.3M