SourcingSourcing

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

C21
CRD 165145·SEC 801-93169·BUFFALO, MN
AUM
$382.9M
$100M-$500M
Est. Revenue
$3.8M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$9.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD
165145
SEC file #
801-93169
EIN
—
DBA names
—

Economics

AUM
$382.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$202.0M → $382.9M▲ +90%
Client mix
Individuals Other989
Individuals High Net Worth80

Operations

Employees (total)
9
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
6 advisors → 9 advisors▲ +50%
Primary office
BUFFALO MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DOUGHERTY, DANIEL, JOHN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
DOUGHERTY, DANIEL, JOHN
Dougherty, Dillon, Lee
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:dougherty.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2889
Soi Zip Pct 200k Plus
0.0714
Soi Zip Returns 200k Plus
890
Soi Zip Total AGI
1,115,539
Fdic Zip Total Deposits
11,172,717,000
Fdic Zip Branch Count
205
Fdic Zip Top Banks
Wells Fargo Bank, National Association
KleinBank

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
The Oakley National Bank of BuffaloBuffalo, MN
The Oakley National Bank of BuffaloBuffalo, MN
Fdic Zip HHI
1417.83
Fdic Zip Top Bank Share Pct
25.68
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI35,904
Returns3,260
Stub 2
AGI89,763
Returns2,400
Stub 3
AGI113,923
Returns1,840
Soi Zip Total Business Income
28,026
Soi Zip Total Cap Gains
38,675
Soi Zip Total Dividends
12,456
Soi Zip Total Returns
12,460
Top Owner CRD
6359033
Trust Company Affiliate
No

People (5)

5
DOUGHERTY, DANIEL, JOHN
IAR · Direct Owner · 62.5%
6359033
Dougherty, Dillon, Lee
IAR · Direct Owner · 62.5%
6676496
LISA ANN GEYEN
IAR
5079216
Andrew David Bowman
IAR
7940154
KERRY JEANNE SCHMITZ
IAR
4440055