Data / Investment advisers / Minnesota / Dougherty & Associates Financial Advisors, Inc.
Dougherty & Associates Financial Advisors, Inc., Buffalo, MN: $383 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Dougherty & Associates Financial Advisors, Inc. is an SEC registered investment adviser with its main office in Buffalo, Minnesota and reports $383 million in regulatory assets under management in its Form ADV filed February 25, 2026. Its clients include individuals and high net worth individuals. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Dougherty & Associates Financial Advisors, Inc. (CRD number 165145): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 165145
- SEC file number
- 801-93169
- SEC status
- Approved, effective April 20, 2015
- Main office
- 103 Marty Drive Suite 101, Buffalo, MN 55313
- Phone
- (763) 682-4014
- Regulatory AUM
- $382,859,944 in the Form ADV filed February 25, 2026
- Discretionary AUM
- $380,557,558
- Non discretionary AUM
- $2,302,386
- Accounts
- 2,304
- Employees
- 9, of which 9 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- February 25, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 989 | $198 million |
| High net worth individuals | 80 | $184.9 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $382.9 million | February 25, 2026 |
| December 1, 2025 | $353.9 million | November 12, 2025 |
Other advisers in Minnesota
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Excel Financial, LLC | Red Wing | $404.5 million | Not listed | adviserinfo.sec.gov |
| Webb Financial Group | Bloomington | $397.2 million | Not listed | adviserinfo.sec.gov |
| Mann Financial Group | Detroit Lakes | $395.5 million | Not listed | adviserinfo.sec.gov |
| Quarry Hill Advisors | Saint Paul | $394.8 million | Not listed | adviserinfo.sec.gov |
| Dunnavan & Co. | Minneapolis | $392.7 million | Not listed | adviserinfo.sec.gov |
| All Terrain Financial Advisors | Coon Rapids | $379.2 million | Not listed | adviserinfo.sec.gov |
| Freedom Financial Partners LLC | Oakdale | $377.9 million | Not listed | adviserinfo.sec.gov |
| Abbey Street | Eden Prairie | $375.4 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Minnesota
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Dougherty & Associates Financial Advisors, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.