Dougherty & Associates Financial Advisors, Inc.

Dougherty & Associates Financial Advisors, Inc. is a registered investment adviser based in Buffalo, MN, providing personalized investment advisory services since 2012. The firm is owned by Daniel Dougherty (CEO and President) and Dillon Dougherty (CFO and Chief Compliance Officer). Services offered include Portfolio Management Services (discretionary and non-discretionary) and Financial Consulting Services. The firm charges a negotiable fixed fee ranging between $25 and $5,000 for financial consulting services, with fees detailed in the client agreement. For Portfolio Management Services, fees are based on a percentage of assets under management, with a maximum annual fee of 1.50% for assets up to $4,999,999. The firm may invest in mutual funds, ETFs, equity securities, and other instruments based on client needs and risk tolerance. Dougherty & Associates Financial Advisors, Inc. acts as a fiduciary, providing services in the best interest of clients. The firm does not accept performance-based fees, participates in side-by-side management, or votes client securities. Clients have the option to grant discretionary authority for investment decisions. The firm does not have any reportable disciplinary information and does not receive compensation for client referrals. Clients' assets are held at Charles Schwab & Co., Inc., with Schwab providing custody and brokerage services. The firm does not vote proxies on behalf of clients and has no financial condition impairing its ability to meet commitments. Dougherty & Associates Financial Advisors, Inc. prioritizes client privacy and maintains policies to safeguard personal information. In case of trade errors, the firm takes corrective actions to restore client accounts. The firm does not handle class action lawsuits on behalf of clients.