DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Nasdaq Dorsey Wright

Wealth manager with institutional or fund businessRichmond, VirginiaCRD 104925SEC 801-29045websiteIAPD
Legal name Dorsey, Wright & Associates, LLC
Latest filing Apr 1, 2026
First filing on the tape Nov 10, 2011 · 45 filings
SEC status approved since Mar 6, 1987
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
42%
$421M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
25
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.0B as of Apr 1, 2026
Mar 14, 2012$837M then
HNW client RAUM$330M as of Apr 1, 2026
Mar 29, 2018$282M then
State-registered IARs (5.B.3)14 as of Apr 1, 2026
Mar 27, 201318 then
Employees (5.A)25 as of Apr 1, 2026
Mar 27, 201322 then
Private funds: no history
RAUM +34% over the last fiscal year+15% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$50.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$689,146derivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
10.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publications, educational seminars, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$537M53%
  • High-net-worth individuals$330M33%
  • Individuals$90.8M9.0%
  • Pension and profit-sharing plans$40.8M4.0%
  • Corporations and businesses$10.2M1.0%
  • Charitable organizations$2.8M0.3%
Individual clients
327reported
HNW clients
479reported
Pension plan clients
10reported
Charitable clients
4reported
Accounts
840reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $351M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.42 fund_share=0.53 institutional_share=0.04 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Pranay DurejaNew York, Ny Jan 29, 202611 y1
Steven Thomas RaymondRichmond, VaFeb 26, 202634 y1
Robert Anthony DeangeloRichmond, Va Feb 26, 202619 y2
Michael David KaplanWashington, Dc Feb 26, 202614 y1
Connor Patrick KampRichmond, Va Feb 26, 202613 y1
Andrew Charles HyerCertified Financial PlannerPasadena, CaFeb 26, 202622 y1
Benjamin Hardin JonesRichmond, VaFeb 26, 202616 y1
Sydney SiekRichmond, VaFeb 26, 202616 y1
Myron Charles FullerRichmond, VaFeb 26, 202619 y1
David Clinton ClarkRichmond, VaFeb 26, 202612 y2
James Thomas WestRichmond, VaFeb 26, 202611 y1
Ian James SaundersRichmond, VaFeb 26, 202612 y1
Miles Andrew ClarkRichmond, VaFeb 26, 202614 y1
Trevor Brooks PleskoRichmond, VaFeb 26, 202619 y1
Anthony GarciaRichmond, VaFeb 26, 202611 y1
Missael MacedoRichmond, Va Feb 26, 202615 y1
Jay Michael GragnaniRichmond, VaMar 17, 202620 y2
Sara Mehle MarshallRichmond, VaMar 17, 202612 y1
John Gunnard LewisPasadena, Ca Mar 17, 202624 y1
Randall DammersNew York, Ny Mar 17, 202610 y1
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Patton Lisa Johnson · Chief Compliance Officercontrol
    since 03/2018 · owns less than 5%
  • Gunnard John Lewis · Senior Vice President, Dorsey Wright & Associates, LLCcontrol
    since 08/2020 · owns less than 5%
  • Elisabeth Emily Spurling · Senior Vice President, Nasdaqcontrol
    since 01/2022 · owns less than 5%
Entity owners
  • Granite Redux, Inc. · Managing Member
    direct · owns 25% to 50%
  • Nasdaq, Inc. · Owner
    direct · owns 25% to 50% · public reporting company
  • Nasdaq, Inc. · Owner
    indirect · owns 75% or more of Granite Redux, Inc. · public reporting company
  • Nasdaq, Inc. · Owner
    indirect · owns 75% or more of Graniteblock, Inc. · public reporting company
  • Graniteblock, Inc. · Owner
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
Advisers that list Nasdaq Dorsey Wright as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Richmond, Va · principal19190
New York, Ny440
Pasadena, Ca330
Offices
Schedule D 1.F, the 25 largest
  • Pasadena, CA3 employees
What changed
consecutive filings, newest first
  • Accounts · 815 to 840
    Jan 13, 2026 to Mar 27, 2026
  • Business name · DORSEY, WRIGHT & ASSOCIATES, LLC to NASDAQ DORSEY WRIGHT
    Jan 13, 2026 to Mar 27, 2026
  • Corporate clients · 14 to 11
    Jan 13, 2026 to Mar 27, 2026
  • HNW clients · 395 to 479
    Jan 13, 2026 to Mar 27, 2026
  • Individual clients · 379 to 327
    Jan 13, 2026 to Mar 27, 2026
  • Pension plan clients · 13 to 10
    Jan 13, 2026 to Mar 27, 2026
  • Discretionary RAUM · $755M to $1.0B
    Jan 13, 2026 to Mar 27, 2026
  • HNW RAUM · $270M to $330M
    Jan 13, 2026 to Mar 27, 2026
  • Individual RAUM · $89.1M to $90.8M
    Jan 13, 2026 to Mar 27, 2026
  • Pension RAUM · $33.9M to $40.8M
    Jan 13, 2026 to Mar 27, 2026
  • RAUM · $755M to $1.0B
    Jan 13, 2026 to Mar 27, 2026
  • Wrap assets (manager) · $238M to $351M
    Jan 13, 2026 to Mar 27, 2026
  • Financial planning clients · 0 to 0
    Apr 23, 2025 to Jul 7, 2025
  • Accounts · 824 to 815
    Mar 27, 2024 to Apr 23, 2025
  • Advisory employees · 13 to 14
    Mar 27, 2024 to Apr 23, 2025
  • Charity clients · 6 to 4
    Mar 27, 2024 to Apr 23, 2025
  • Corporate clients · 12 to 14
    Mar 27, 2024 to Apr 23, 2025
  • HNW clients · 407 to 395
    Mar 27, 2024 to Apr 23, 2025
  • Individual clients · 380 to 379
    Mar 27, 2024 to Apr 23, 2025
  • Pension plan clients · 10 to 13
    Mar 27, 2024 to Apr 23, 2025
  • State-registered IARs · 13 to 14
    Mar 27, 2024 to Apr 23, 2025
  • Discretionary RAUM · $579M to $755M
    Mar 27, 2024 to Apr 23, 2025
  • HNW RAUM · $210M to $270M
    Mar 27, 2024 to Apr 23, 2025
  • Individual RAUM · $65.0M to $89.1M
    Mar 27, 2024 to Apr 23, 2025
  • Pension RAUM · $10.0M to $33.9M
    Mar 27, 2024 to Apr 23, 2025
  • RAUM · $579M to $755M
    Mar 27, 2024 to Apr 23, 2025
  • Related adviser · false to true
    Mar 27, 2024 to Apr 23, 2025
  • Wrap assets (manager) · $257M to $238M
    Mar 27, 2024 to Apr 23, 2025
  • Accounts · 967 to 824
    Jan 30, 2024 to Mar 27, 2024
  • Charity clients · 4 to 6
    Jan 30, 2024 to Mar 27, 2024
  • Corporate clients · 10 to 12
    Jan 30, 2024 to Mar 27, 2024
  • HNW clients · 475 to 407
    Jan 30, 2024 to Mar 27, 2024
  • Individual clients · 451 to 380
    Jan 30, 2024 to Mar 27, 2024
  • Pension plan clients · 13 to 10
    Jan 30, 2024 to Mar 27, 2024
  • Discretionary RAUM · $658M to $579M
    Jan 30, 2024 to Mar 27, 2024
  • HNW RAUM · $202M to $210M
    Jan 30, 2024 to Mar 27, 2024
  • Individual RAUM · $79.0M to $65.0M
    Jan 30, 2024 to Mar 27, 2024
  • Pension RAUM · $11.1M to $10.0M
    Jan 30, 2024 to Mar 27, 2024
  • RAUM · $658M to $579M
    Jan 30, 2024 to Mar 27, 2024
  • Wrap assets (manager) · $322M to $257M
    Jan 30, 2024 to Mar 27, 2024
Signals
15 dated events
  • Joseph Charles Tuzzolo left Nasdaq Dorsey Wright for Esi Financial Advisors (registered 2026-06-23)
    Jul 9, 2026 · Advisor changed firm · fact
  • Nasdaq Dorsey Wright reported RAUM $1.0B, up 34% from $755.1M (2026-01-13 to 2026-03-27)
    Mar 27, 2026 · RAUM change · derived
  • Nasdaq Dorsey Wright reported RAUM $755.1M, up 30% from $578.9M (2024-03-27 to 2025-04-23)
    Apr 23, 2025 · RAUM change · derived
  • Will Payton Gibson left Nasdaq Dorsey Wright for Bay Rivers Group Wealth Partners (registered 2024-09-09)
    Sep 3, 2024 · Advisor changed firm · fact
  • Sara Frazier Gochenour left Nasdaq Dorsey Wright for Heritage Wealth Advisors (registered 2025-07-07)
    Jan 23, 2024 · Advisor changed firm · fact
  • Robert Terence Wade (Senior Vice President) no longer on Schedule A of Nasdaq Dorsey Wright (listed 2023-08-03, absent 2023-08-09)
    Aug 9, 2023 · Control person left · inference
  • Elisabeth Emily Spurling (Senior Vice President, Nasdaq) appeared on Schedule A of Nasdaq Dorsey Wright
    Aug 9, 2023 · Control person joined · fact
  • Nasdaq Dorsey Wright reported RAUM $657.8M, down 32% from $961.1M (2022-07-06 to 2023-03-28)
    Mar 28, 2023 · RAUM change · derived
  • Nasdaq Dorsey Wright reported RAUM $961.1M, up 33% from $724.8M (2021-10-26 to 2022-03-18)
    Mar 18, 2022 · RAUM change · derived
  • Nasdaq Dorsey Wright reported RAUM $724.8M, up 56% from $464.6M (2020-09-03 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • Gunnard John Lewis (Senior Vice President) appeared on Schedule A of Nasdaq Dorsey Wright
    Sep 2, 2020 · Control person joined · fact
  • Frazier Sara Gochenour (Executive Vice President) no longer on Schedule A of Nasdaq Dorsey Wright (listed 2020-06-24, absent 2020-09-02)
    Sep 2, 2020 · Control person left · inference
  • Nasdaq Dorsey Wright reported RAUM $393.4M, down 30% from $563.1M (2019-02-14 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
  • Frazier Sara Gochenour (Executive Vice President) appeared on Schedule A of Nasdaq Dorsey Wright
    Mar 28, 2019 · Control person joined · fact
  • Nasdaq Dorsey Wright reported RAUM $563.1M, up 129% from $245.9M (2018-03-12 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Firm profile
LINKEDIN.COM/COMPANY/NASDAQreportedpublic record, Form ADV, Sep 17, 2026
Website
DORSEYWRIGHT.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
804-320-8511reportedpublic record, Form ADV, Apr 1, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor
$50.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026