Dougherty Investment Advisors

Dougherty Investment Advisors is a team-based, state-registered investment adviser managing about $114 million for roughly 180 clients, serving individuals (including high-net-worth clients), retirement plans, trusts, estates, charitable organizations and business entities. The firm offers discretionary portfolio management and financial planning services that can cover tax, insurance, estate, disability, business and retirement planning.

The firm emphasizes fundamental analysis when selecting investments and constructs portfolios using equities, corporate and municipal debt, mutual funds, ETFs and U.S. government securities, with ongoing monitoring and rebalancing. Accounts are generally managed on a discretionary basis and the firm uses both long- and short-term strategies while treating cash and cash equivalents as part of assets under management.

What is distinctive is the firm’s affiliation with an accounting and tax practice: the firm’s principal is a Certified Public Accountant who devotes a portion of time to a separate accounting business, and clients may engage that affiliated firm for tax and accounting services. The brochure discloses that certain client eligibility information may be shared among affiliated businesses for marketing and outlines policies to address related conflicts (including disclosure of ancillary services, rollover guidance, and procedures around custody and securities-backed lending).