Why Us?

The firm’s passion is to provide a guiding hand as the client travels through their financial life. Many of our clients have been with us for more than 20 years because they can depend on our integrity, responsiveness, and wide range of expertise. Not only are all our staff college degreed, but also a CPA who has worked first hand with Wall Street banks and fortune 500 companies.

In short, we want our clients to rely on us to provide a secure financial path for them and their families. Period.

Independent

Our firm receives no commission or financial benefits from any organization. We have no financial affiliation with any broker, insurance agent, bank, or attorney. And, we receive no free trips to Europe if we recommend a company's mutual fund.

Fiduciary Duty

Registered Investment Advisors (RIAs) are different from stock brokers and insurance agents. Yes, by law, only RIAs have a fiduciary duty to recommend the best alternative for their clients.

Contrast this to a stock broker who may recommend a mutual fund that may be suitable for the client, but because of its high fee structure, is not the best available.

The fiduciary duty of the RIA is enforced by the State of Florida Office of Financial Regulation in its effort to ensure the Registered Investment Advisory firm complies with fiduciary obligations.

Meet The Team

John A. Dougherty, CPA, MBA
Registered Investment Advisor Representative
Seann A. Dougherty, BS
Registered Investment Advisor Representative
Nicholette Hamel
Registered Investment Advisor Representative

Our Clients

At Dougherty Investment Advisors, we serve a wide range of individuals, ages, lifestyles, and families. And, we currently serve clients in more than 15 states across this great country, using modern technology like Iphones, Skype, email, and occasional visits to stay in touch.
  • Individuals & Families | Every one of our clients is an individual with unique situations and objectives. For that reason, we have no cookie-cutter formula for how to design portfolios; every account is different. You may be a younger family saving for retirement and utilizing IRAs. You may be getting ready for retirement or already there and need to utilize your savings for monthly income. We help you manage this entire process, and most importantly, we keep an eye on the target: where do we want to go and how are we doing in our efforts to get there?
  • Retired or Widowed | Our retired clients comprise an important part of our management practice, because we are very experienced at handling issues that pop up during this period of a person's life. John's CPA expertise with taxes, estate planning, and trust management plays a pivotal role in providing guidance and comfort to his clients, especially in light of a client perhaps losing a long-time spouse. We also pride ourselves in working with children of retirees, when it is called for.
  • Planning for Business Owners | Our long experience with business owners related to tax and planning issues helps significantly to guide the business owner. We strongly believe that every business person on Day One should begin thinking about positioning themselves and the enterprise for sale, merger, or transfer, in years to come. Like any other asset, we focus on building its value, then realizing the gain as the owner moves on years hence.

Free Financial Review

We offer a complimentary review meeting to describe our services, and to see if our services are right for you.

Let's chat

Securities offered through Charles Schwab & Co., Inc. Member FINRA/SIPC.
To Check Firm or Individual Backgrounds please go to adviserinfo.sec.gov.
Copyright © Dougherty Investment Advisors | Powered by AdvisorFlex