Dougherty & Associates Financial Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Dougherty & Associates Financial Advisors is a registered investment adviser serving individuals (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, and business entities. The firm provides discretionary and non‑discretionary portfolio management and financial consulting services, primarily advising on mutual funds and ETFs, and manages roughly $383 million for about 1,069 clients through a five‑advisor team.
The firm tailors portfolios to clients’ objectives and risk tolerances using fundamental analysis, with a mix of long‑ and short‑term purchases and the occasional use of margin or short‑term trading when suitable. It acts as a fiduciary for retirement accounts under applicable guidance, monitors and rebalances accounts, and offers IRA rollover recommendations as part of its consulting services.
Distinctive features include the firm’s routine use of a Standing Letter of Authorization to execute third‑party wire transfers when clients provide written instructions, and its confirmation that it meets custodian criteria that avoid a surprise annual audit despite that authority. The firm’s advisors also serve as registered representatives of a broker‑dealer and as licensed insurance agents (earning separate commission‑based compensation), and the firm routinely directs custody and trade execution to a single custodian platform, creating potential conflicts that the brochure discloses.
Client services
Expertise
Fee options
Financial consulting services fees range from $25 to $5,000, negotiable.
$0 - $4,999,999: 1.50% $5,000,000 - $9,999,999: 1.00% $10,000,000+: 0.80%
Registered representatives receive commission-based compensation on securities and insurance products separate from advisory fees.
Main office
103 Marty Drive, Suite 101
Buffalo MN 55313
Advisors at this office
5
Most active in
California · Colorado · Florida · Minnesota · Texas · Wisconsin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Andrew B
Series 66
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
Andrew Bowman is a financial advisor at Dougherty & Associates Financial Advisors, Inc. with one year of industry experience. He holds the Series 66 designation and has previously worked at Independent Financial Group, LLC, Annandale School District, and Hoffman Construction. Outside of advising, he has served as an administrative assistant. Dougherty & Associates Financial Advisors, Inc. is a team-based registered investment adviser managing approximately $354 million across more than 1,000 client accounts. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, and businesses, offering discretionary and non-discretionary portfolio management alongside fixed-fee financial consulting services.
Daniel D
Series 66
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
Daniel Dougherty is a Series 66 licensed financial advisor with over 10 years of industry experience. He has been with Dougherty & Associates Financial Advisors, Inc. since 2015 and is a 50% owner of the firm. The firm is a team-based registered investment adviser serving a diverse client base, including high-net-worth individuals, retirement plans, trusts, and charitable organizations. Dougherty & Associates manages approximately $354 million across more than 1,000 client accounts, offering both discretionary and non-discretionary portfolio management with an investment approach that includes mutual funds, ETFs, individual equities, and fixed income.
Lisa G
Series 63, Series 65
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
Lisa Geyen is a financial advisor at Dougherty & Associates Financial Advisors, Inc. with 17 years of industry experience. She holds Series 63 and Series 65 registrations and has worked at Dougherty & Associates and Independent Financial Group during her career. Geyen also assists in compliance activities for the firm. Dougherty & Associates Financial Advisors, Inc. is a team-based registered investment adviser serving individuals, retirement plans, trusts, estates, charitable organizations, and businesses. The firm manages approximately $354 million across over 1,000 client accounts, offering discretionary and non-discretionary portfolio management with an investment approach that includes mutual funds, ETFs, individual equities, and fixed income.
Dillon D
Series 66
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
Dillon Dougherty is a financial advisor at Dougherty & Associates Financial Advisors, Inc. with eight years of industry experience. He holds a Series 66 designation and has worked primarily at Dougherty & Associates since 2015. In addition to his advisory role, he is a licensed insurance agent offering various insurance products. Dougherty & Associates Financial Advisors, Inc. is a team-based registered investment adviser managing approximately $354 million across more than 1,000 client accounts. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, and businesses, offering discretionary and non-discretionary portfolio management with an investment approach that includes mutual funds, ETFs, individual equities, and other securities.
Kerry S
CFP®, Series 66
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
Kerry Schmitz is a CFP® professional with 23 years of experience in the financial services industry. He has been with Dougherty & Associates Financial Advisors, Inc. since 2013 and also works with Independent Financial Group. Dougherty & Associates Financial Advisors, Inc. is a team-based registered investment adviser managing approximately $354 million across more than 1,000 client accounts. The firm serves individuals, retirement plans, trusts, charitable organizations, and businesses, offering discretionary and non-discretionary portfolio management with an investment approach that includes mutual funds, ETFs, equities, debt instruments, and other strategies tailored to client objectives and risk tolerance.
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