Dougherty & Associates Financial Advisors, Inc
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Overview
Dougherty & Associates Financial Advisors, Inc operates as an advisory company that has its headquarters in Buffalo, Minnesota. The company has $277.5 million in assets throughout 2,378 accounts, making it a mid-tier financial advisory firm in the United States by assets under management (AUM). The firm has a small group, including 9 financial advisors. Dougherty & Associates Financial Advisors, Inc is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its customers' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are tradable financial investments like equities, options and bonds.
Dougherty & Associates Financial Advisors, Inc oversees more than half of the firm's accounts on a discretionary basis. Discretionary management means that an investment advisor makes buy and sell judgments without needing to seek client authorization. Dougherty & Associates Financial Advisors, Inc also administers eight non-discretionary accounts with a total of $2.7 million in assets under management. The company's typical account size is $116,676. The average advisor at Dougherty & Associates Financial Advisors, Inc oversees about 264 client accounts.
The company's headquarters is located at 103 Marty Drive, Buffalo, Minnesota 55313. The company is permitted to provide services to clients throughout a few states, including Arizona, California, Florida, Minnesota, Texas and Wisconsin.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Dougherty & Associates Financial Advisors, Inc by the Numbers
$277.5 million
9
2,378
$116.7 thousand
Products and Services
Services offered by Dougherty & Associates Financial Advisors, Inc include financial planning services and portfolio management for individuals and small businesses. In the prior financial year, Dougherty & Associates Financial Advisors, Inc provided 1-10 of its accounts with financial planning services. The firm does not sell products or offer services aside from investment advisory services to its investment advisory accounts.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial advisory fees largely are based on which services are provided. Fees billed by Dougherty & Associates Financial Advisors, Inc likely consist of the following fee structures: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Dougherty & Associates Financial Advisors, Inc.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 32% of firms
Fixed
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The firm provides services to retail investors and high net worth investors. Out of its 2,378 clients, Dougherty & Associates Financial Advisors, Inc's largest client by number of accounts is retail investors, but it also caters to 59 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 5.26%
- Other Individuals - 94.74%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Dougherty & Associates Financial Advisors, Inc does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Dougherty & Associates Financial Advisors, Inc
Buffalo, MN
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