Gregory M Doherty, CPA

A CPA-led SFO like Gregory M. Doherty typically operates under state accountancy board oversight rather than SEC or state securities regulation, relying on the single-family office exemption in the Investment Advisers Act. This means the principal's individual CPA license — not a firm-level investment advisory registration — is the primary regulatory credential. The structure allows integrated delivery of tax compliance, trust accounting, and investment coordination without the dual-registration burden a multi-family office would bear.

In this model, Gregory M. Doherty likely serves as the gatekeeper who reviews and coordinates investments rather than originating proprietary deals. The office typically engages external managers for public equities, fixed income, and alternatives, with Doherty's role focused on tax-aware asset location, performance aggregation, and aligning investments with estate-planning objectives. Direct investments, when they occur, are usually sponsor- or advisor-introduced, not the product of an internal deal-sourcing engine.

Families who prize: privacy from SEC filings; continuity of a decades-long tax-preparer relationship elevated to trustee; and a single professional accountable for both compliance and investment oversight. The trade-off is narrower in-house investment expertise and less institutionalized succession planning — the office's continuity often depends on a single named professional.

No. Single-family offices as defined by SEC Rule 202(a)(11)(G)-1 are exempt from registration under the Investment Advisers Act. Since the firm appears structured around one family and the CPA practice does not hold itself out to the public as an investment adviser, no Form ADV is required and none is publicly filed.

Gregory M. Doherty is subject to the professional conduct code and continuing education requirements of his state board of accountancy, as well as the AICPA's Statements on Standards for Tax Services. Depending on trust appointments, he may also owe fiduciary duties under state trust law — a higher standard than the suitability standard applicable to broker-dealers.