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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D•••••••• I••••••••• A•••••••
Legal name D•••••••• • A••••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Jun 25, 2025 · 5 filings
SEC status approved since Jun 11, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$140M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$35.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$141M as of Apr 10, 2026
Jun 25, 2025$114M then
HNW client RAUM$62.7M as of Apr 10, 2026
Jun 25, 2025$73.4M then
State-registered IARs (5.B.3)4 as of Apr 10, 2026
Jun 25, 20254 then
Employees (5.A)4 as of Apr 10, 2026
Jun 25, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $35.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $164,990derivedHNW RAUM over HNW clients
- Average account
- $340,752derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$77.1M55%
- High-net-worth individuals$62.7M44%
- Charitable organizations$1.3M0.9%
- Individual clients
- 32reported
- HNW clients
- 380reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 414reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A••••• D•••••••• | Spring Hill, Fl | Oct 28, 2016 | 37 y | 3 |
| S•••• A••••• D•••••••• | Spring Hill, Fl | Jul 27, 2021 | 14 y | 0 |
| N••••••••• J••• H•••• | Pinson, Al | Nov 24, 2021 | 16 y | 0 |
| P•••••• A•••••• M•••••• | Spring Hill, Fl | Feb 25, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••••••••• K••••••• to N••••• P••• F•••••••• I•••Apr 13, 2021 · RIA to a state-registered adviser
Joined, latest
- C••••••••• K••••••• from P••••• M•••• F•••••••• A•••••••Sep 14, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• S••••• A••••• · Ccosince 01/2026 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spring Hill, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 420 to 414Feb 2, 2026 to Mar 13, 2026
- HNW clients · 29 to 380Feb 2, 2026 to Mar 13, 2026
- Individual clients · 151 to 32Feb 2, 2026 to Mar 13, 2026
- Assets in custody · 113881819.0 to unsetFeb 2, 2026 to Mar 13, 2026
- Custody of client assets · true to falseFeb 2, 2026 to Mar 13, 2026
- Discretionary RAUM · $114M to $141MFeb 2, 2026 to Mar 13, 2026
- HNW RAUM · $73.4M to $62.7MFeb 2, 2026 to Mar 13, 2026
- Individual RAUM · $39.3M to $77.1MFeb 2, 2026 to Mar 13, 2026
- RAUM · $114M to $141MFeb 2, 2026 to Mar 13, 2026
- Related insurance company · true to falseSep 16, 2025 to Feb 2, 2026
Signals
No event on the tape.
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
- Business phone
- 352-238-6411reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- doughertyinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (352) 238-6411reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- doughertyinvestments.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026