Dougherty & Associates Financial Advisors, Inc.
- Regulatory AUM
- $383M
- Discretionary
- $381M
- Clients
- 1,069
- Avg AUM / client
- $358K
- Accounts
- 2,304
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 989 | $198M | 51.7% |
| High net worth individuals | 80 | $185M | 48.3% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel John Dougherty | Chief Executive Officer, President, Director, Secretary, Owner | Nov 2015 (11y) | 50% – 75% | |
| Dillon Lee Dougherty | Chief Financial Officer, Chief Compliance Officer, Director, Treasurer, Owner | Apr 2018 (8y) | 50% – 75% | |
| Kerry Jeanne Schmitz | Registered representative | CFP | Dec 2013 (13y) | |
| Lisa Ann Geyen | Registered representative | Jun 2020 (6y) | ||
| Andrew David Bowman | Registered representative | Jan 2025 (2y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/25/2026 | 916 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $363M (95% of AUM) Feb 2026
- Matrix Trust Company $14.9M (5% of AUM) Oct 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 25, 2026.
View current Form ADV (SEC/IAPD) ↗