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Dougherty & Associates
Dougherty & Associates is an independent RIA based in Buffalo, MN, focused on retirement planning, 401(k) rollovers, and 529 savings for individual...
Dougherty & Associates
Dougherty & Associates is an independent RIA headquartered in Buffalo, Minnesota, with additional locations in St. Paul, Chicago, Minneapolis, and Colorado Springs. The firm is built around retail financial planning, focusing on retirement readiness, 401(k) rollover management, and college savings through 529 plans. Its independence is presented as the structural spine of the practice, positioning the advisors to offer what the firm describes as objective and unbiased guidance without proprietary product pressure. The firm's service menu centers on retail investment management and financial planning. Core offerings include retirement income projections, consolidation of legacy retirement accounts after a job change, and education savings vehicles. The advisory model is transactional planning for individuals, not institutional asset management. There is no disclosed private-market or direct-investment capability. Client-facing content on its website addresses subjects like money market funds, estate strategies, and the choice between fixed and variable mortgages, reinforcing the firm's position in the mass-affluent retail segment rather than the family-office or ultra-high-net-worth space. The practice lists five locations in its Altss research record — Chicago, Minneapolis, Colorado Springs, Buffalo, and St. Paul. Its website confirms a physical presence in Buffalo and St. Paul with published office hours, phone, and fax numbers. No AUM, advisor headcount, or total client figures are publicly disclosed. The firm does not publish a leadership team page or name its principals on its website, leaving its management structure opaque to outside parties. Structurally, Dougherty & Associates is set apart by its geography and scale. It is a regional planner operating from a Minnesota base, not a coastal wealth-management aggregator. The absence of named leadership, public AUM, or institutional strategies may simply reflect a firm that does not target the family-office ecosystem at all — it is a retail book of business that happens to appear in entity databases alongside structurally different organizations.
General information
Firm type
RIA
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
Buffalo
Corporate office
103 Marty Drive, Suite #101, Buffalo, MN 55313
Additional offices
St. Paul, MN · Chicago, IL · Minneapolis, MN · Colorado Springs, CO
Sector focus
Frequently asked questions
Is Dougherty & Associates a family office?
No. Dougherty & Associates operates as a retail registered investment advisor (RIA) serving individual clients, not as a single-family or multi-family office. Its disclosed services include retirement planning, 401(k) consolidation, and 529 college savings plans, all aimed at a mass-affluent client base rather than ultra-high-net-worth families or institutional capital. The firm does not structure private investments, direct deals, or intergenerational wealth transfer vehicles.
How is Dougherty & Associates compensated?
The firm emphasizes its independence and objectivity, a structure that typically aligns with a fee-based or fee-only RIA model rather than commission-driven brokerage. Its website states a commitment to unbiased advice, but specific fee schedules, AUM-based fee tiers, or hourly planning rates are not publicly disclosed. Prospective clients would need to engage the firm directly for its Form ADV Part 2A or a detailed fee breakdown.
What investment services does Dougherty & Associates provide?
The firm advertises a full range of investment and financial services, with a clear emphasis on retirement projections, 401(k) rollover guidance, and college savings accounts. Its published content covers mutual fund structures like money market funds, mortgage selection, and estate planning tactics, indicating a generalist retail planning model. There is no evidence of alternatives, private equity, or direct deal capabilities.
Where does Dougherty & Associates have physical offices?
Two office locations are confirmed on the firm's website: 103 Marty Drive, Suite #101 in Buffalo, MN, and 1337 County Road D Circle E in St. Paul, MN. An Altss research record additionally lists presences in Chicago, Minneapolis, and Colorado Springs, though those addresses are not verified on the firm's own site.
Who leads Dougherty & Associates?
The firm does not name any principals, advisors, or leadership team members on its website. No individual names, professional biographies, or executive roles are publicly available. This absence of disclosed leadership makes it impossible to assess the management team or track record from outside the firm.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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