DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

CRD 165145

BUFFALO, MN

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:1019425b-04d3-60cf-ffbf-8e4623f4f01d

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 6
On other graphs: 0
Observed: Apr 10, 2015 to Feb 25, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $383MItem 5.F on the latest filing (2026-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $381M
Private client RAUM: $383MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $76.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,304
Individual clients: 989
High net worth clients: 80
Custody, client assets: $200M
SEC number: 801-93169
CRD: 165145
Filings on the tape: 27
First filed: Apr 10, 2015
Latest filed: Feb 25, 2026
Organised: Corporation, MN

Advisors on IAPD

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

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KERRY JEANNE SCHMITZ	Certified Financial Planner	BUFFALO, MN	12	23	1	yes
DANIEL JOHN DOUGHERTY	n/a	BUFFALO, MN	10	11	n/a	yes
Dillon Lee Dougherty	n/a	BUFFALO, MN \| ST PAUL, MN	8	12	n/a	yes
LISA ANN GEYEN	n/a	BUFFALO, MN	6	18	3	yes
Andrew David Bowman	n/a	BUFFALO, MN	1	21	n/a	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
DOUGHERTY, DANIEL, JOHN	CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER	D	yes	09/2020	Jan 2, 2020	Oct 30, 2024
Dougherty, Dillon, Lee	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER	D	yes	09/2020	Jan 2, 2020	Oct 30, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
ST. PAUL	Mn	United States	3	yes

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 25, 2026	$383M	$381M	9	9	1	n/a	n/a
2024	Mar 7, 2025	$354M	$352M	9	9	1	n/a	n/a
2023	Mar 8, 2024	$308M	$306M	8	8	1	n/a	n/a
2022	Mar 16, 2023	$277M	$275M	9	9	1	n/a	n/a
2021	Mar 4, 2022	$320M	$317M	9	9	1	n/a	n/a
2020	Mar 9, 2021	$305M	$300M	10	10	1	n/a	n/a
2019	Mar 18, 2020	$268M	$264M	11	11	1	n/a	n/a
2018	Jan 31, 2019	$202M	$200M	12	6	1	n/a	n/a
2017	Mar 16, 2018	$137M	$124M	10	10	0	n/a	n/a
2016	Mar 27, 2017	$129M	$116M	10	10	n/a	n/a	n/a
2015	Mar 14, 2016	$108M	$93.5M	8	8	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
0	0	0	0.0%	0	0	0	0	0

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	$383M	$354M	8.2%	$277M	11.3%	9	9	1	1

Relationships

Registered with (6)

← Andrew David BowmanAdvisorregistration: current employment
Jan 9, 2025 to presentfactForm ADV
← LISA ANN GEYENAdvisorregistration: previous registration
Dec 23, 2013 to Nov 21, 2018factForm ADV
← Dillon Lee DoughertyAdvisorregistration: current employment
Apr 27, 2018 to presentfactForm ADV
← DANIEL JOHN DOUGHERTYAdvisorregistration: current employment
Nov 13, 2015 to presentfactForm ADV
← KERRY JEANNE SCHMITZAdvisorregistration: current employment
Dec 23, 2013 to presentfactForm ADV
← CHAD MATTHEW RAICHEAdvisorregistration: previous registration
Jan 7, 2014 to Mar 10, 2016factForm ADV

Affiliated with (1)

← SECURITIES MONITORING GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← DOUGHERTY, DANIEL, JOHNOwnerCHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER, ownership code D, individual
Jan 2, 2020 to Oct 30, 2024factForm ADV
← Dougherty, Dillon, LeeOwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER, ownership code D, individual
Jan 2, 2020 to Oct 30, 2024factForm ADV

Dated events

Occurred
Sep 22, 2020
Control person left
Elizabeth Coreen Dougherty (Owner/Director) no longer on Schedule A of Dougherty & Associates Financial Advisors, Inc. (listed 2020-05-27, absent 2020-09-22)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2020
Control person joined
John Daniel Dougherty (Chief Executive Officer, President, Secretary) appeared on Schedule A of Dougherty & Associates Financial Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 2, 2020
Control person joined
Lee Dillon Dougherty (Chief Financial Officer, Chief Compliance Officer, Treasurer) appeared on Schedule A of Dougherty & Associates Financial Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 2, 2020
Control person joined
Elizabeth Coreen Dougherty (Owner/Director) appeared on Schedule A of Dougherty & Associates Financial Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 2, 2020
Control person left
John Michael Dougherty (President/ Chief Compliance Officer) no longer on Schedule A of Dougherty & Associates Financial Advisors, Inc. (listed 2019-01-31, absent 2020-01-02)
Form ADVobserved 4 days ago
Occurred
Apr 10, 2015
First Form ADV filing
Dougherty & Associates Financial Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1019425b-04d3-60cf-ffbf-8e4623f4f01d
First observed: Apr 10, 2015
Last observed: Feb 25, 2026 6 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.

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

CRD 165145

BUFFALO, MN

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:1019425b-04d3-60cf-ffbf-8e4623f4f01d

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:46 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KERRY JEANNE SCHMITZ

Certified Financial Planner

BUFFALO, MN

yes

DANIEL JOHN DOUGHERTY

n/a

BUFFALO, MN

n/a

yes

Dillon Lee Dougherty

n/a

BUFFALO, MN | ST PAUL, MN

n/a

yes

LISA ANN GEYEN

n/a

BUFFALO, MN

yes

Andrew David Bowman

n/a

BUFFALO, MN

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOUGHERTY, DANIEL, JOHN

CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER

yes

09/2020

Jan 2, 2020

Oct 30, 2024

Dougherty, Dillon, Lee

CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER

yes

09/2020

Jan 2, 2020

Oct 30, 2024

City

State

Country

Employees

Also broker-dealer

ST. PAUL

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 25, 2026

$383M

$381M

n/a

2024

Mar 7, 2025

$354M

$352M

n/a

2023

Mar 8, 2024

$308M

$306M

n/a

2022

Mar 16, 2023

$277M

$275M

n/a

2021

Mar 4, 2022

$320M

$317M

n/a

2020

Mar 9, 2021

$305M

$300M

n/a

2019

Mar 18, 2020

$268M

$264M

n/a

2018

Jan 31, 2019

$202M

$200M

n/a

2017

Mar 16, 2018

$137M

$124M

n/a

2016

Mar 27, 2017

$129M

$116M

n/a

2015

Mar 14, 2016

$108M

$93.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$383M

$354M

8.2%

$277M

11.3%