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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

NASDAQ DORSEY WRIGHT

DORSEY, WRIGHT & ASSOCIATES, LLC, CRD 104925

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08f5e0db-839d-ff2b-4c5e-4b31465f00a0

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 15
On other graphs: 0
Observed: Nov 10, 2011 to Apr 1, 2026
45 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.42 fund_share=0.53 institutional_share=0.04 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $1.0BItem 5.F on the latest filing (2026-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
Private client RAUM: $421MderivedItem 5.D individuals plus high net worth individuals
Private client share: 42%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 20
RAUM per advisor: $50.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 25
Advisory employees: 14
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 840
Individual clients: 327
High net worth clients: 479
SEC number: 801-29045
CRD: 104925
Filings on the tape: 45
First filed: Nov 10, 2011
Latest filed: Apr 1, 2026
Organised: Limited Liability Company, VA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	In industry	Prior firms	Dual registered
Pranay Dureja	n/a	New York, NY \| RICHMOND, VA	11	1	yes
STEVEN THOMAS RAYMOND	n/a	RICHMOND, VA	34	1	no
ANDREW CHARLES HYER	Certified Financial Planner	Pasadena, CA	22	1	no
ROBERT ANTHONY DEANGELO	n/a	RICHMOND, VA \| New York, NY	19	2	no
MICHAEL DAVID KAPLAN	n/a	Washington, DC \| RICHMOND, VA	14	1	no
BENJAMIN HARDIN JONES	n/a	RICHMOND, VA	16	1	no
SYDNEY SIEK	n/a	RICHMOND, VA	16	1	no
MYRON CHARLES FULLER	n/a	RICHMOND, VA	19	1	no
CONNOR PATRICK KAMP	n/a	RICHMOND, VA \| New York, NY	13	1	no
DAVID CLINTON CLARK	n/a	RICHMOND, VA	12	2	no
James Thomas West	n/a	RICHMOND, VA	11	1	no
Ian James Saunders	n/a	RICHMOND, VA	12	1	no
Miles Andrew Clark	n/a	RICHMOND, VA	14	1	no
Trevor Brooks Plesko	n/a	RICHMOND, VA	19	1	no
Anthony Garcia	n/a	RICHMOND, VA	11	1	no
Missael Macedo	n/a	RICHMOND, VA \| Pasadena, CA	15	1	no
JOHN GUNNARD LEWIS	n/a	Pasadena, CA \| RICHMOND, VA	24	1	no
RANDALL DAMMERS	n/a	New York, NY \| RICHMOND, VA	10	1	no
JAY MICHAEL GRAGNANI	n/a	RICHMOND, VA	20	2	no
SARA Mehle Marshall	n/a	RICHMOND, VA	12	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
JOHNSON, LISA, PATTON	CHIEF COMPLIANCE OFFICER	Na	yes	03/2018	Apr 1, 2026	Apr 1, 2026
LEWIS, JOHN, GUNNARD	SENIOR VICE PRESIDENT, DORSEY WRIGHT & ASSOCIATES, LLC	Na	yes	08/2020	Apr 1, 2026	Apr 1, 2026
spurling, emily, elisabeth	SENIOR VICE PRESIDENT, NASDAQ	Na	yes	01/2022	Apr 1, 2026	Apr 1, 2026
GRANITE REDUX, INC.	MANAGING MEMBER	C	yes	01/2015	Dec 14, 2011	Mar 27, 2024
NASDAQ, INC.	Owner	C	yes	01/2015	Mar 30, 2016	Mar 27, 2024
NASDAQ, INC.	Owner	E	yes	01/2015	Mar 30, 2016	Mar 27, 2024
NASDAQ, INC.	Owner	E	yes	01/2015	Mar 30, 2016	Mar 27, 2024
GRANITEBLOCK, INC.	Owner	B	no	01/2015	Mar 2, 2015	Mar 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NASDAQ CAPITAL MARKETS ADVISORY LLC	n/a	n/a	n/a	N	yes	n/a
NASDAQ EXECUTION SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
NFSTX, LLC	n/a	n/a	n/a	N	yes	n/a
NPM SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Pasadena	CA	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 17

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$1.0B	$1.0B	25	14	1	n/a	n/a
2024	Apr 23, 2025	$755M	$755M	25	14	1	n/a	n/a
2023	Mar 27, 2024	$579M	$579M	25	13	1	n/a	n/a
2022	Mar 28, 2023	$658M	$658M	25	13	1	n/a	n/a
2021	Mar 18, 2022	$961M	$961M	25	13	1	n/a	n/a
2020	Mar 25, 2021	$725M	$725M	25	13	1	n/a	n/a
2019	Mar 26, 2020	$465M	$465M	25	14	1	n/a	n/a
2018	Mar 28, 2019	$393M	$393M	25	19	1	n/a	n/a
2017	Mar 29, 2018	$563M	$563M	18	14	1	n/a	n/a
2016	Mar 31, 2017	$246M	$246M	20	18	n/a	n/a	n/a
2015	Mar 30, 2016	$213M	$213M	22	18	n/a	n/a	n/a
2014	Mar 2, 2015	$220M	$220M	21	18	n/a	n/a	n/a
2013	Mar 31, 2014	$744M	$744M	20	17	n/a	n/a	n/a
2012	Mar 27, 2013	$626M	$626M	22	18	n/a	n/a	n/a
2011	Mar 14, 2012	$837M	$837M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	5.0%	0	1	0	1	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0B	$755M	34.0%	$658M	15.4%	25	25	1	1

Relationships

Affiliated with (1)

← SECONDMARKET FINANCIAL, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (31)

← JOHN GUNNARD LEWISAdvisorregistration: previous registration
Oct 23, 2002 to Dec 31, 2025factForm ADV
← RANDALL DAMMERSAdvisorregistration: previous registration
Jul 3, 2021 to Dec 31, 2025factForm ADV
← JAY MICHAEL GRAGNANIAdvisorregistration: previous registration
Sep 29, 2022 to Dec 31, 2025factForm ADV
← SARA Mehle MarshallAdvisorregistration: previous registration
Jun 19, 2015 to Dec 31, 2025factForm ADV
← STEVEN THOMAS RAYMONDAdvisorregistration: previous registration
Oct 26, 2004 to Dec 31, 2025factForm ADV
← ANDREW CHARLES HYERAdvisorregistration: previous registration
Dec 16, 2004 to Dec 31, 2025factForm ADV
← ROBERT ANTHONY DEANGELOAdvisorregistration: previous registration
Jul 27, 2017 to Dec 31, 2025factForm ADV
← MICHAEL DAVID KAPLANAdvisorregistration: previous registration
Mar 25, 2021 to Dec 31, 2025factForm ADV
← BENJAMIN HARDIN JONESAdvisorregistration: previous registration
Apr 21, 2012 to Dec 31, 2025factForm ADV
← SYDNEY SIEKAdvisorregistration: previous registration
Jul 4, 2012 to Dec 31, 2025factForm ADV
← MYRON CHARLES FULLERAdvisorregistration: previous registration
Mar 6, 2012 to Dec 31, 2025factForm ADV
← CONNOR PATRICK KAMPAdvisorregistration: previous registration
Dec 21, 2017 to Dec 31, 2025factForm ADV
← DAVID CLINTON CLARKAdvisorregistration: previous registration
Jun 3, 2021 to Dec 31, 2025factForm ADV
← James Thomas WestAdvisorregistration: previous registration
Oct 5, 2017 to Dec 31, 2025factForm ADV
← Ian James SaundersAdvisorregistration: previous registration
Sep 14, 2018 to Dec 31, 2025factForm ADV
← Miles Andrew ClarkAdvisorregistration: previous registration
Aug 12, 2022 to Dec 31, 2025factForm ADV
← Trevor Brooks PleskoAdvisorregistration: previous registration
Jul 30, 2024 to Dec 31, 2025factForm ADV
← Anthony GarciaAdvisorregistration: previous registration
Mar 7, 2025 to Dec 31, 2025factForm ADV
← Missael MacedoAdvisorregistration: previous registration
Jul 2, 2025 to Dec 31, 2025factForm ADV
← Pranay DurejaAdvisorregistration: current employment
Jan 29, 2026 to presentfactForm ADV
← JOSEPH CHARLES TUZZOLOAdvisorregistration: previous registration
Feb 26, 2026 to Jul 9, 2026factForm ADV
← Will Payton GibsonAdvisorregistration: previous registration
Jul 26, 2019 to Sep 3, 2024factForm ADV
← SARA FRAZIER GOCHENOURAdvisorregistration: previous registration
Jan 12, 2012 to Jan 23, 2024factForm ADV
← CHARLES MARCUS COLEMANAdvisorregistration: previous registration
Dec 5, 2016 to Dec 8, 2021factForm ADV
← THOMAS DOYLEAdvisorregistration: previous registration
Oct 5, 2016 to Jun 21, 2018factForm ADV
← Paul Leander KeetonAdvisorregistration: previous registration
Jan 21, 2003 to Apr 5, 2018factForm ADV
← AMY ELIZABETH KEMPAdvisorregistration: previous registration
Jul 2, 2012 to Apr 5, 2018factForm ADV
← HAROLD BOWLER PARKERAdvisorregistration: previous registration
Aug 29, 1994 to Jun 1, 2016factForm ADV
← JAMES ANTHONY PARRISHAdvisorregistration: previous registration
Jul 19, 2013 to Mar 30, 2016factForm ADV
← Michael Jay MoodyAdvisorregistration: previous registration
Aug 29, 1994 to Apr 1, 2014factForm ADV
and 1 more

Controls (5)

← spurling, emily, elisabethOwnerSENIOR VICE PRESIDENT, NASDAQ, ownership code NA, individual
Aug 9, 2023 to Mar 27, 2024factForm ADV
← LEWIS, JOHN, GUNNARDOwnerSENIOR VICE PRESIDENT, DORSEY WRIGHT & ASSOCIATES, LLC, ownership code NA, individual
Sep 2, 2020 to Mar 27, 2024factForm ADV
← JOHNSON, LISA, PATTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2018 to Mar 27, 2024factForm ADV
← GRANITE REDUX, INC.OwnerMANAGING MEMBER, ownership code C, domestic entity
Dec 14, 2011 to Mar 27, 2024factForm ADV
← NASDAQ, INC.OwnerOWNER, ownership code E, domestic entity
Mar 30, 2016 to Mar 27, 2024factForm ADV

Owns (1)

← GRANITEBLOCK, INC.OwnerOWNER, ownership code B, domestic entity
Mar 2, 2015 to Mar 27, 2024factForm ADV

Dated events

Occurred
Jul 9, 2026
Advisor changed firm
Joseph Charles Tuzzolo left Nasdaq Dorsey Wright for Esi Financial Advisors (registered 2026-06-23)
Form ADVobserved 3 days ago
Occurred
Mar 27, 2026
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $1.0B, up 34% from $755.1M (2026-01-13 to 2026-03-27)
Form ADVobserved 3 days ago
$257M
Occurred
Apr 23, 2025
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $755.1M, up 30% from $578.9M (2024-03-27 to 2025-04-23)
Form ADVobserved 3 days ago
$176M
Occurred
Sep 3, 2024
Advisor changed firm
Will Payton Gibson left Nasdaq Dorsey Wright for Bay Rivers Group Wealth Partners (registered 2024-09-09)
Form ADVobserved 3 days ago
Occurred
Jan 23, 2024
Advisor changed firm
Sara Frazier Gochenour left Nasdaq Dorsey Wright for Heritage Wealth Advisors (registered 2025-07-07)
Form ADVobserved 3 days ago
Occurred
Aug 9, 2023
Control person left
Robert Terence Wade (Senior Vice President) no longer on Schedule A of Nasdaq Dorsey Wright (listed 2023-08-03, absent 2023-08-09)
Form ADVobserved 3 days ago
Occurred
Aug 9, 2023
Control person joined
Elisabeth Emily Spurling (Senior Vice President, Nasdaq) appeared on Schedule A of Nasdaq Dorsey Wright
Form ADVobserved 3 days ago
Occurred
Mar 28, 2023
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $657.8M, down 32% from $961.1M (2022-07-06 to 2023-03-28)
Form ADVobserved 3 days ago
$-303M
Occurred
Mar 18, 2022
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $961.1M, up 33% from $724.8M (2021-10-26 to 2022-03-18)
Form ADVobserved 3 days ago
$236M
Occurred
Mar 25, 2021
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $724.8M, up 56% from $464.6M (2020-09-03 to 2021-03-25)
Form ADVobserved 3 days ago
$260M
Occurred
Sep 2, 2020
Control person joined
Gunnard John Lewis (Senior Vice President) appeared on Schedule A of Nasdaq Dorsey Wright
Form ADVobserved 3 days ago
Occurred
Sep 2, 2020
Control person left
Frazier Sara Gochenour (Executive Vice President) no longer on Schedule A of Nasdaq Dorsey Wright (listed 2020-06-24, absent 2020-09-02)
Form ADVobserved 3 days ago
Occurred
Mar 28, 2019
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $393.4M, down 30% from $563.1M (2019-02-14 to 2019-03-28)
Form ADVobserved 3 days ago
$-170M
Occurred
Mar 28, 2019
Control person joined
Frazier Sara Gochenour (Executive Vice President) appeared on Schedule A of Nasdaq Dorsey Wright
Form ADVobserved 3 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Nasdaq Dorsey Wright reported RAUM $563.1M, up 129% from $245.9M (2018-03-12 to 2018-03-29)
Form ADVobserved 3 days ago
$317M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08f5e0db-839d-ff2b-4c5e-4b31465f00a0
First observed: Nov 10, 2011
Last observed: Apr 1, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NASDAQ DORSEY WRIGHT

DORSEY, WRIGHT & ASSOCIATES, LLC, CRD 104925

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08f5e0db-839d-ff2b-4c5e-4b31465f00a0

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Pranay Dureja

n/a

New York, NY | RICHMOND, VA

yes

STEVEN THOMAS RAYMOND

n/a

RICHMOND, VA

ANDREW CHARLES HYER

Certified Financial Planner

Pasadena, CA

ROBERT ANTHONY DEANGELO

n/a

RICHMOND, VA | New York, NY

MICHAEL DAVID KAPLAN

n/a

Washington, DC | RICHMOND, VA

BENJAMIN HARDIN JONES

n/a

RICHMOND, VA

SYDNEY SIEK

n/a

RICHMOND, VA

MYRON CHARLES FULLER

n/a

RICHMOND, VA

CONNOR PATRICK KAMP

n/a

RICHMOND, VA | New York, NY

DAVID CLINTON CLARK

n/a

RICHMOND, VA

James Thomas West

n/a

RICHMOND, VA

Ian James Saunders

n/a

RICHMOND, VA

Miles Andrew Clark

n/a

RICHMOND, VA

Trevor Brooks Plesko

n/a

RICHMOND, VA

Anthony Garcia

n/a

RICHMOND, VA

Missael Macedo

n/a

RICHMOND, VA | Pasadena, CA

JOHN GUNNARD LEWIS

n/a

Pasadena, CA | RICHMOND, VA

RANDALL DAMMERS

n/a

New York, NY | RICHMOND, VA

JAY MICHAEL GRAGNANI

n/a

RICHMOND, VA

SARA Mehle Marshall

n/a

RICHMOND, VA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOHNSON, LISA, PATTON

CHIEF COMPLIANCE OFFICER

yes

03/2018

Apr 1, 2026

LEWIS, JOHN, GUNNARD

SENIOR VICE PRESIDENT, DORSEY WRIGHT & ASSOCIATES, LLC

yes

08/2020

Apr 1, 2026

spurling, emily, elisabeth

SENIOR VICE PRESIDENT, NASDAQ

yes

01/2022

Apr 1, 2026

GRANITE REDUX, INC.

MANAGING MEMBER

yes

01/2015

Dec 14, 2011

Mar 27, 2024

NASDAQ, INC.

Owner

yes

01/2015

Mar 30, 2016

Mar 27, 2024

NASDAQ, INC.

Owner

yes

01/2015

Mar 30, 2016

Mar 27, 2024

NASDAQ, INC.

Owner

yes

01/2015

Mar 30, 2016

Mar 27, 2024

GRANITEBLOCK, INC.

Owner

01/2015

Mar 2, 2015

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NASDAQ CAPITAL MARKETS ADVISORY LLC

n/a

yes

n/a

NASDAQ EXECUTION SERVICES, LLC

n/a

yes

n/a

NFSTX, LLC

n/a

yes

n/a

NPM SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Pasadena

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

$1.0B

n/a

2024

Apr 23, 2025

$755M

n/a

2023

Mar 27, 2024

$579M

n/a

2022

Mar 28, 2023

$658M

n/a

2021

Mar 18, 2022

$961M

n/a

2020

Mar 25, 2021

$725M

n/a

2019

Mar 26, 2020

$465M

n/a

2018

Mar 28, 2019

$393M

n/a

2017

Mar 29, 2018

$563M

n/a

2016

Mar 31, 2017

$246M

n/a

2015

Mar 30, 2016

$213M

n/a

2014

Mar 2, 2015

$220M

n/a

2013

Mar 31, 2014

$744M

n/a

2012

Mar 27, 2013

$626M

n/a

2011

Mar 14, 2012

$837M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

5.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.0B

$755M

34.0%

$658M

15.4%