DOUGHERTY & ASSOCIATES, LLC of SPRING HILL, FL is an SEC-registered investment adviser (CRD 142284). Regulatory assets under management: $141.1M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| John Archer Dougherty | MANAGING MEMBER | — |
| Seann Archer Dougherty | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-05-07 | regulatory | RESPONDENT FAILED TO FILE FINANCIAL STATEMENTS WITH THE THE STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION WITHIN 90 DAYS OF DECEMBER 31, 2009; 2010; AND 2011. | Final | $3K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | (352) 238-6411 |