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DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD 165145File 801-93169
APPROVED
Retail clients
Custody
Filing as of Feb 25, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$382.9M
Below cohort median (national)
Discretionary AUM
$380.6M
Non-discretionary $2.3M
Clients
1,069
2,304 accounts
Employees
9
Below cohort median in MN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Apr 20, 2015
- Principal office
- 103 MARTY DRIVE, SUITE 101, BUFFALO, MN, 55313
- Phone
- 763-682-4014
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $382.9M
- Discretionary AUM
- $380.6M
- Non-discretionary AUM
- $2.3M
- Discretionary accounts
- 2,300
- Non-discretionary accounts
- 4
- Total accounts
- 2,304
- AUM per client
- $358K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 80 | $184.9M |
| Individuals (other than high net worth individuals) | 989 | $198.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.