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NASDAQ DORSEY WRIGHT
Legal name: DORSEY, WRIGHT & ASSOCIATES, LLC
CRD 104925File 801-29045
APPROVED
Retail clients
Custody
Filing as of Apr 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.01B
Above cohort median (national)
Discretionary AUM
$1.01B
Clients
837
840 accounts
Employees
25
Above cohort median in VA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Mar 6, 1987
- Principal office
- 3300 W LEIGH STREET, RICHMOND, VA, 23230
- Phone
- 804-320-8511
- Website
- HTTP://DORSEYWRIGHT.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.01B
- Discretionary AUM
- $1.01B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 840
- Non-discretionary accounts
- 0
- Total accounts
- 840
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $10.2M |
| Investment companies | 6 | $536.6M |
| Charitable organizations | Fewer than 5 | $2.8M |
| High net worth individuals | 479 | $330.1M |
| Pension and profit sharing plans | 10 | $40.8M |
| Individuals (other than high net worth individuals) | 327 | $90.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Subscription fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Other advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Custody | No | Yes | |
| Aug 17, 2026 | Clients | 840 | 837 | decreased by3 |
| Apr 1, 2026 | Clients | 815 | 840 | increased by25 |
| Apr 1, 2026 | AUM | $755,135,613 | $1,011,889,492 | increased by$256,753,879 |
| Apr 1, 2026 | Accounts | 815 | 840 | increased by25 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,581 | 815 | decreased by766 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $961,107,571 | $755,135,613 | decreased by$205,971,958 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,581 | 815 | decreased by766 |
| Apr 1, 2022 | Clients | 875 | 1,581 | increased by706 |
| Apr 1, 2022 | AUM | $724,834,192 | $961,107,571 | increased by$236,273,379 |
| Apr 1, 2022 | Accounts | 875 | 1,581 | increased by706 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NASDAQ DORSEY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NASDAQ DORSEY” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.