# Dougherty Investment Advisors

> Dougherty Investment Advisors is an SEC-registered investment advisory firm in Spring Hill, FL, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 10, 2026.

- CRD: 142284
- Filed as: DOUGHERTY INVESTMENT ADVISORS
- Legal name: Dougherty & Associates, LLC
- Also doing business as: DOUGHERTY INVESTMENT ADVISORS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Spring Hill, FL
- Filing period: October 2026
- Form ADV filing dated: April 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/142284
- AdvisorCensus page: https://advisorcensus.com/firm/dougherty-investment-advisors-spring-hill-fl-142284

## Quick answers

**How is Dougherty Investment Advisors compensated?**
On its Form ADV (Item 5.E, October 2026), Dougherty Investment Advisors reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Dougherty Investment Advisors located?**
Dougherty Investment Advisors' principal office is in Spring Hill, FL, according to its Form ADV.

**Is Dougherty Investment Advisors registered with the SEC or a state?**
Dougherty Investment Advisors is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 142284.

**How much does Dougherty Investment Advisors manage?**
Dougherty Investment Advisors reports $141,071,329 in regulatory assets under management in its Form ADV filing dated April 10, 2026 (100% discretionary).

**How have Dougherty Investment Advisors' assets and staff changed since 2025?**
In the Form ADV data for Dougherty Investment Advisors: Regulatory assets under management: $113,881,819 in the October 2025 data and $141,071,329 in the October 2026 data, up 24%. Total employees: 4 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Dougherty Investment Advisors serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (380); individuals (other than high net worth individuals) (32); charitable organizations (2).

**Which custodians does Dougherty Investment Advisors use?**
Dougherty Investment Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Dougherty Investment Advisors report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/142284

**Does Dougherty Investment Advisors state an account minimum?**
Its Form ADV Part 2A brochure dated April 10, 2026 says: "DIA generally requires a minimum investment of $100,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement."

**What changed in Dougherty Investment Advisors' recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $113,881,819 to $141,071,329 (+24%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated April 10, 2026)

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> DIA generally requires a minimum investment of $100,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $141,071,329
- Discretionary: $141,071,329
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 32 | $77,113,155 |
| High net worth individuals | 380 | $62,696,089 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 2 | $1,262,085 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, FL, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- doughertyinvestments.com
- Facebook @DoughertyAssociates4080

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $113,881,819 | 4 | June 25, 2025 |
| October 2026 | $141,071,329 | 4 | April 10, 2026 |

Regulatory assets under management: $113,881,819 in the October 2025 data and $141,071,329 in the October 2026 data, up 24%.
Total employees: 4 in October 2025 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $113,881,819 to $141,071,329 (+24%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dougherty Investment Advisors (CRD 142284): Form ADV filing data as of October 2026.