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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

DORSEY & COMPANY INC.

CRD 1668

NEW ORLEANS, LA

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:9903d36b-795a-6d60-ce0a-247fc7c45208

Data as of Sep 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 0
Observed: Dec 14, 2011 to Sep 25, 2020
20 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: $432MItem 5.F on the latest filing (2020-09-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $375M
Private client RAUM: $143MderivedItem 5.D individuals plus high net worth individuals
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees: 16
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 931
Individual clients: 105
High net worth clients: 173
Custody, client assets: $394M
SEC number: 801-35768
CRD: 1668
Filings on the tape: 20
First filed: Dec 14, 2011
Latest filed: Sep 25, 2020
Organised: Corporation, Louisiana

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
CLEMENTS, DONALD THOMAS	Treasurer	Na	yes	01/1994	Dec 14, 2011	Sep 25, 2020
DORSEY, MARY D	INDEPENDENT EXECUTRIX	E	yes	08/2019	Oct 23, 2019	Sep 25, 2020
HOLLINGSWORTH, GREGORY MICHAEL	SENIOR VICE PRESIDENT	Na	yes	10/2001	Dec 14, 2011	Sep 25, 2020
RUEB, STEVEN FREDERICK	VICE PRESIDENT	Na	yes	05/1995	Dec 14, 2011	Sep 25, 2020
SUCCESSION OF PHILIP J DORSEY, MARY D DORSEY INDEPENDENT EXECUTRIX	Owner	E	yes	08/2019	Oct 25, 2019	Sep 25, 2020
THOMPSON, RAYMOND ANDREW	PRESIDENT / CEO / CCO	Na	yes	08/2019	Dec 14, 2011	Sep 25, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW ORLEANS	La	United States	1	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
2020	Sep 25, 2020	$432M	$375M	17	16	1	n/a	n/a
2019	Oct 23, 2019	$462M	$419M	18	18	1	n/a	n/a
2018	Sep 26, 2018	$462M	$419M	21	20	1	n/a	n/a
2017	Sep 27, 2017	$457M	$440M	20	18	n/a	n/a	n/a
2016	Aug 2, 2016	$427M	$386M	20	16	n/a	n/a	n/a
2015	Aug 3, 2015	$396M	$357M	20	16	n/a	n/a	n/a
2014	Oct 3, 2014	$337M	$291M	22	16	n/a	n/a	n/a
2013	Sep 20, 2013	$289M	$253M	22	16	n/a	n/a	n/a
2012	Aug 30, 2012	$258M	$232M	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
2020	$432M	$462M	-6.6%	$457M	-1.9%	17	18	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PROSPERA FINANCIAL SERVICES, INC.	11	Dec 3, 2021	Oct 7, 2024	NEW ORLEANS, LA	Firm absorbed	RIA to RIA	91.7%

Relationships

Controls (6)

← CLEMENTS, DONALD THOMASOwnerTREASURER, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← RUEB, STEVEN FREDERICKOwnerVICE PRESIDENT, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← HOLLINGSWORTH, GREGORY MICHAELOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← THOMPSON, RAYMOND ANDREWOwnerPRESIDENT / CEO / CCO, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← DORSEY, MARY DOwnerINDEPENDENT EXECUTRIX, ownership code E, domestic entity
Oct 23, 2019 to presentfactForm ADV
← SUCCESSION OF PHILIP J DORSEY, MARY D DORSEY INDEPENDENT EXECUTRIXOwnerOWNER, ownership code E, domestic entity
Oct 25, 2019 to presentfactForm ADV

Registered with (14)

← RAYMOND ANDREW THOMPSONAdvisorregistration: previous registration
Jul 20, 2006 to Dec 31, 2021factForm ADV
← STEPHEN ROBERT SCHULLERAdvisorregistration: previous registration
Sep 1, 2006 to Dec 3, 2021factForm ADV
← JULIAN SAENGER RICHARDSAdvisorregistration: previous registration
Oct 10, 2011 to Dec 3, 2021factForm ADV
← DEAN ERNEST MORRISAdvisorregistration: previous registration
Oct 8, 2019 to Dec 3, 2021factForm ADV
← MICHAEL LOUIS STERNAdvisorregistration: previous registration
Jul 21, 2006 to Dec 3, 2021factForm ADV
← JOSEPH PETER STEPHENSAdvisorregistration: previous registration
Nov 20, 2007 to Dec 3, 2021factForm ADV
← NED ANTHONY CHATELAINAdvisorregistration: previous registration
Feb 23, 2011 to Dec 3, 2021factForm ADV
← CHRISTOPHER DAVID BRAVENDERAdvisorregistration: previous registration
Feb 23, 2011 to Dec 3, 2021factForm ADV
← MICHAEL SCOTT MARTINAdvisorregistration: previous registration
Dec 23, 2009 to Dec 3, 2021factForm ADV
← GREGORY MICHAEL HOLLINGSWORTHAdvisorregistration: previous registration
Sep 1, 2006 to Dec 3, 2021factForm ADV
← EDWARD CHURCH BUSHAdvisorregistration: previous registration
Sep 1, 2006 to Dec 3, 2021factForm ADV
← JOHN GREEN CHRISTMANAdvisorregistration: previous registration
Sep 1, 2006 to Dec 3, 2021factForm ADV
← Vanessa Elise AltomAdvisorregistration: previous registration
Sep 27, 2018 to Apr 1, 2019factForm ADV
← JEFFREY SCOTT HOLTZCLAWAdvisorregistration: previous registration
Jun 4, 2009 to Nov 16, 2016factForm ADV

Moved with (1)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviser10 advisors, firm absorbed, same day
Dec 3, 2021 to Dec 6, 2021factForm ADV

Dated events

Occurred
Oct 23, 2019
Control person left
Philip John Dorsey (President) no longer on Schedule A of Dorsey & Company Inc. (listed 2019-10-23, absent 2019-10-23)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9903d36b-795a-6d60-ce0a-247fc7c45208
First observed: Dec 14, 2011
Last observed: Sep 25, 2020 72 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.

DORSEY & COMPANY INC.

CRD 1668

NEW ORLEANS, LA

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:9903d36b-795a-6d60-ce0a-247fc7c45208

Data as of Sep 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLEMENTS, DONALD THOMAS

Treasurer

yes

01/1994

Dec 14, 2011

Sep 25, 2020

DORSEY, MARY D

INDEPENDENT EXECUTRIX

yes

08/2019

Oct 23, 2019

Sep 25, 2020

HOLLINGSWORTH, GREGORY MICHAEL

SENIOR VICE PRESIDENT

yes

10/2001

Dec 14, 2011

Sep 25, 2020

RUEB, STEVEN FREDERICK

VICE PRESIDENT

yes

05/1995

Dec 14, 2011

Sep 25, 2020

SUCCESSION OF PHILIP J DORSEY, MARY D DORSEY INDEPENDENT EXECUTRIX

Owner

yes

08/2019

Oct 25, 2019

Sep 25, 2020

THOMPSON, RAYMOND ANDREW

PRESIDENT / CEO / CCO

yes

08/2019

Dec 14, 2011

Sep 25, 2020

City

State

Country

Employees

Also broker-dealer

NEW ORLEANS

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Sep 25, 2020

$432M

$375M

n/a

2019

Oct 23, 2019

$462M

$419M

n/a

2018

Sep 26, 2018

$462M

$419M

n/a

2017

Sep 27, 2017

$457M

$440M

n/a

2016

Aug 2, 2016

$427M

$386M

n/a

2015

Aug 3, 2015

$396M

$357M

n/a

2014

Oct 3, 2014

$337M

$291M

n/a

2013

Sep 20, 2013

$289M

$253M

n/a

2012

Aug 30, 2012

$258M

$232M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$432M

$462M

-6.6%

$457M

-1.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PROSPERA FINANCIAL SERVICES, INC.

Dec 3, 2021

Oct 7, 2024

NEW ORLEANS, LA

Firm absorbed

RIA to RIA

91.7%