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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SECURITIES MONITORING GROUP, LLC

CRD 113242

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:6fa49c64-be56-5926-57ac-bd3c11d5ea93

Data as of Dec 26, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to Dec 26, 2013
8 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $76.6MItem 5.F on the latest filing (2013-12-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $57.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 11
Accounts: 1,906
SEC number: 801-60344
CRD: 113242
Filings on the tape: 8
First filed: Dec 16, 2011
Latest filed: Dec 26, 2013
Organised: Limited Liability Company, Minnesota

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, MICHAEL, JOHN	PRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	E	yes	02/2001	Dec 16, 2011	Dec 26, 2013

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
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.	n/a	Independent wealth	$383M	N	yes	n/a

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
2012	Mar 22, 2013	$76.6M	$57.0M	11	11	n/a	n/a	n/a
2011	Mar 15, 2012	$127M	$83.5M	n/a	n/a	n/a	n/a	n/a

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
2012	$76.6M	$127M	-39.7%	n/a	n/a	11	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← DOUGHERTY, MICHAEL, JOHNOwnerPRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER, ownership code E, individual
Dec 16, 2011 to presentfactForm ADV

Registered with (1)

← LISA ANN GEYENAdvisorregistration: previous registration
Dec 8, 2009 to Dec 26, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fa49c64-be56-5926-57ac-bd3c11d5ea93
First observed: Dec 16, 2011
Last observed: Dec 26, 2013 155 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.

SECURITIES MONITORING GROUP, LLC

CRD 113242

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:6fa49c64-be56-5926-57ac-bd3c11d5ea93

Data as of Dec 26, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:50 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOUGHERTY, MICHAEL, JOHN

PRESIDENT/CHIEF MANAGER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER

yes

02/2001

Dec 16, 2011

Dec 26, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

n/a

Independent wealth

$383M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 22, 2013

$76.6M

$57.0M

n/a

2011

Mar 15, 2012

$127M

$83.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$76.6M

$127M

-39.7%

n/a