{
  "crd_number": 104925,
  "slug": "nasdaq-dorsey-wright-richmond-va-104925",
  "primary_business_name": "NASDAQ DORSEY WRIGHT",
  "legal_name": "DORSEY, WRIGHT & ASSOCIATES, LLC",
  "dbas": [
    "DORSEY WRIGHT MONEY MANAGEMENT",
    "NASDAQ DORSEY WRIGHT"
  ],
  "city": "Richmond",
  "state": "VA",
  "country": "United States",
  "cbsa_code": "40060",
  "metro": {
    "cbsa_code": "40060",
    "common_name": "Richmond",
    "msa_name": "Richmond, VA",
    "path": "/advisors/va/richmond"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1987-03-06",
  "years_registered": 39,
  "period": "2026-10-01",
  "filing_date": "2026-04-01",
  "carried_forward": false,
  "raum_total": 1011889492.0,
  "raum_discretionary": 1011889492.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 25,
  "advisory_employees": 14,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 447815.0,
      "count": 3,
      "description": "CHARITABLE TRUST",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 2844718.0,
      "count": 4,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 90844266.0,
      "count": 327
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 536644423.0,
      "count": 6
    },
    "pension_profit_sharing": {
      "raum": 40796325.0,
      "count": 10
    },
    "high_net_worth_individuals": {
      "raum": 330100872.0,
      "count": 479
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 10211073.0,
      "count": 11
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum",
    "subscription"
  ],
  "advisory_activities": [
    "educational_seminars",
    "other",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://business.nasdaq.com/intel/dorsey-wright/index.html",
    "https://business.nasdaq.com/intel/dorsey-wright/sma-uma.html",
    "https://dorseywright.com",
    "https://facebook.com/nasdaqdorseywright",
    "https://linkedin.com/COMPANY/NASDAQ",
    "https://twitter.com/DORSEYWRIGHTDWA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104925",
  "city_as_filed": "RICHMOND",
  "url": "https://advisorcensus.com/firm/nasdaq-dorsey-wright-richmond-va-104925",
  "display_name": "Nasdaq Dorsey Wright",
  "summary": "Nasdaq Dorsey Wright is an SEC-registered investment advisory firm in Richmond, VA, registered since 1987, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated April 1, 2026.",
  "citation": "AdvisorCensus. Nasdaq Dorsey Wright (CRD 104925): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Subscription fees (for a newsletter or periodical)",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Nasdaq Dorsey Wright compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Nasdaq Dorsey Wright reports these compensation arrangements: a percentage of assets under its management; hourly charges; subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Nasdaq Dorsey Wright located?",
      "a": "Nasdaq Dorsey Wright's principal office is in Richmond, VA, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Nasdaq Dorsey Wright registered with the SEC or a state?",
      "a": "Nasdaq Dorsey Wright is an SEC-registered investment advisory firm, registered since 1987. Status as filed: Approved. CRD 104925."
    },
    {
      "q": "How much does Nasdaq Dorsey Wright manage?",
      "a": "Nasdaq Dorsey Wright reports $1,011,889,492 in regulatory assets under management in its Form ADV filing dated April 1, 2026 (100% discretionary)."
    },
    {
      "q": "How have Nasdaq Dorsey Wright's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Nasdaq Dorsey Wright: Regulatory assets under management: $724,834,192 in the October 2021 data and $1,011,889,492 in the October 2026 data, up 40%. Total employees: 25 in October 2021 and 25 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Nasdaq Dorsey Wright serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (479); individuals (other than high net worth individuals) (327); corporations or other businesses not listed above (11)."
    },
    {
      "q": "Which custodians does Nasdaq Dorsey Wright use?",
      "a": "Nasdaq Dorsey Wright's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Distributors Company LLC, Morgan Stanley & Co. LLC, RBC Capital Markets, LLC and Wells Fargo Advisors Financial Network, LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Nasdaq Dorsey Wright report any disciplinary disclosures?",
      "a": "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/104925"
    },
    {
      "q": "What changed in Nasdaq Dorsey Wright's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $755,135,613 to $1,011,889,492 (+34%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 724834192.0,
      "total_employees": 25,
      "filing_date": "2021-08-02"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 961107571.0,
      "total_employees": 25,
      "filing_date": "2022-07-06"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 657787470.0,
      "total_employees": 25,
      "filing_date": "2023-08-09"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 578896877.0,
      "total_employees": 25,
      "filing_date": "2024-03-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 755135613.0,
      "total_employees": 25,
      "filing_date": "2025-07-07"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1011889492.0,
      "total_employees": 25,
      "filing_date": "2026-04-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $755,135,613 to $1,011,889,492 (+34%)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Registered or notice-filed in AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Distributors Company LLC",
      "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC",
      "affiliated": false
    },
    {
      "name": "Morgan Stanley & Co. LLC",
      "name_as_filed": "MORGAN STANLEY & CO. LLC",
      "affiliated": false
    },
    {
      "name": "RBC Capital Markets, LLC",
      "name_as_filed": "RBC CAPITAL MARKETS, LLC",
      "affiliated": false
    },
    {
      "name": "Wells Fargo Advisors Financial Network, LLC",
      "name_as_filed": "WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/nasdaq-dorsey-wright-richmond-va-104925.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 327,
      "fewer_than_5": false,
      "raum": 90844266.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 479,
      "fewer_than_5": false,
      "raum": 330100872.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 6,
      "fewer_than_5": false,
      "raum": 536644423.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 40796325.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 4,
      "fewer_than_5": true,
      "raum": 2844718.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 11,
      "fewer_than_5": false,
      "raum": 10211073.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 3,
      "fewer_than_5": true,
      "raum": 447815.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104925",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}