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Dougherty & Associates, LLC — 13F Holdings & Portfolio

CIK 2109295 · latest 13F-HR filed 2026-07-16

Backtest portfolio

Dougherty & Associates, LLC manages $125.0M in 13F-reported U.S. long-equity assets across 52 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are NVDA (11.04%), RCL (9.40%), VGT (8.01%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 1 new position and exited 1; 28 existing positions rose in reported value and 5 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

Loading holdings…
AUM
$125.0M

Long-equity book

Holdings
52

Distinct positions

Period
2026-06-30

Filed 2026-07-16

Q/Q Activity
+1 / −1 / ↑28 / ↓5

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
NVDA11.0% · -4%RCL9.4% · +0%VGT8.0% · +720%PFXF7.3% · -1%GOOGL6.2% · +0%VOO6.2% · +1%PANW3.9% · +0%AAPL3.6% · +0%AMZN3.2% · +1%MSFT2.5% · -9%QQQM2.4% · -4%GE2.3% · +1%VPU2.3% · +4%PGR2.2% · +0%ANGL2.2% · +4%MAR2.0% · -1%DUK2.0% · +2%META1.9% · +13%ED1.8% · +2%BKNG1.6% · +2614%GOOG1.4% · -2%NVT1.3% · -1%V1.2% · -2%SO1.0% · +6%VIK0.9% · +12%GD0.8% · 0%HE0.8% · +9%TMO0.8% · -5%WM0.8% · +0%HD0.7% · -5%UBER0.7% · +13%VHT0.6% · -8%MMM0.5% · 0%WMT0.5% · -3%WEC0.5% · -2%VTI0.5% · -11%EIX0.4% · +9%HCA0.4% · +21%APLE0.4% · +0%DTE0.4% · +1%ETR0.4% · +0%BA0.4% · 0%DTM0.4% · +1%LLY0.3% · -6%NEE0.3% · 0%SPY0.3% · 0%XOM0.3% · 0%AEP0.2% · +0%VCLT0.2% · +0%FE0.2% · +0%XEL0.2% · 0%DIA0.2% · new

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 61.4%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Feb 25, 2026.

Assets Under Management
$382.9M
Discretionary
$380.6M
Employees
9
Accounts
2,304
Address
103 MARTY DRIVE
SUITE 101
BUFFALO, MN 55313
Phone
(763) 682-4014
Website
Name Title / Status Ownership Type
DOUGHERTY, DANIEL, JOHN ControlCHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER
since Sep 2020
50–75%Individual
Dougherty, Dillon, Lee ControlCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER
since Sep 2020
50–75%Individual
Ownership & leadership changes · 3 filings with changes since Apr 10, 2015

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 16, 2023 filing
  • ChangedDOUGHERTY, DANIEL, JOHN · title CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY, OWNER → CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR, SECRETARY, OWNER
  • ChangedDougherty, Dillon, Lee · title CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, OWNER → CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, DIRECTOR, TREASURER, OWNER
Sep 22, 2020 filing
  • No longer listedDOUGHERTY, COREEN, ELIZABETH · OWNER/DIRECTOR · 75% or more · control person · listed since Dec 2019
  • ChangedDOUGHERTY, DANIEL, JOHN · title CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY → CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY, OWNER; ownership Less than 5% → 50–75%
  • ChangedDougherty, Dillon, Lee · title CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER → CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, OWNER; ownership Less than 5% → 50–75%
Jan 2, 2020 filing
  • No longer listedDOUGHERTY, MICHAEL, JOHN · PRESIDENT/ CHIEF COMPLIANCE OFFICER · 75% or more · control person · listed since Aug 2012
  • AddedDOUGHERTY, COREEN, ELIZABETH · OWNER/DIRECTOR · 75% or more · control person
  • AddedDOUGHERTY, DANIEL, JOHN · CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY · Less than 5% · control person
  • AddedDougherty, Dillon, Lee · CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER · Less than 5% · control person
Apr 10, 2015 filing (earliest on record)
  • ListedDOUGHERTY, MICHAEL, JOHN · PRESIDENT/ CHIEF COMPLIANCE OFFICER · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 28 →

Top Trims

Show all 5 →

New Positions

Show all 1 →

Exited Positions

Show all 1 →

Dougherty & Associates, LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 NVIDIA CORPORATION NVDA 67066G104 $13.8M 11.04% 68,937 SH
2 ROYAL CARIBBEAN GROUP RCL V7780T103 $11.7M 9.40% 36,985 SH
3 VANGUARD WORLD FD VGT 92204A702 $10.0M 8.01% 83,721 SH
4 VANECK ETF TRUST PFXF 92189F429 $9.1M 7.27% 509,426 SH
5 ALPHABET INC GOOGL 02079K305 $7.8M 6.25% 21,852 SH
6 VANGUARD INDEX FDS VOO 922908363 $7.7M 6.18% 11,246 SH
7 PALO ALTO NETWORKS INC PANW 697435105 $4.9M 3.89% 14,255 SH
8 APPLE INC AAPL 037833100 $4.5M 3.63% 15,666 SH
9 AMAZON COM INC AMZN 023135106 $4.0M 3.21% 16,815 SH
10 MICROSOFT CORP MSFT 594918104 $3.1M 2.50% 8,365 SH
11 INVESCO EXCH TRADED FD TR II QQQM 46138G649 $3.0M 2.38% 9,814 SH
12 GE AEROSPACE GE 369604301 $2.9M 2.34% 7,810 SH
13 VANGUARD WORLD FD VPU 92204A876 $2.9M 2.33% 14,896 SH
14 PROGRESSIVE CORP PGR 743315103 $2.7M 2.18% 12,444 SH
15 VANECK ETF TRUST ANGL 92189F437 $2.7M 2.16% 92,266 SH
16 MARRIOTT INTL INC NEW MAR 571903202 $2.5M 1.98% 6,680 SH
17 DUKE ENERGY CORP NEW DUK 26441C204 $2.5M 1.96% 19,358 SH
18 META PLATFORMS INC META 30303M102 $2.4M 1.94% 4,303 SH
19 CONSOLIDATED EDISON INC ED 209115104 $2.2M 1.80% 20,312 SH
20 BOOKING HOLDINGS INC BKNG 09857L108 $2.0M 1.59% 11,156 SH
21 ALPHABET INC GOOG 02079K107 $1.7M 1.39% 4,926 SH
22 NVENT ELEC PLC NVT G6700G107 $1.6M 1.26% 9,316 SH
23 VISA INC V 92826C839 $1.5M 1.24% 4,504 SH
24 SOUTHERN CO SO 842587107 $1.3M 1.02% 13,312 SH
25 VIKING HOLDINGS LTD VIK G93A5A101 $1.2M 0.93% 11,066 SH
26 GENERAL DYNAMICS CORP GD 369550108 $1.1M 0.85% 2,991 SH
27 HAWAIIAN ELEC INDS INC MTN B HE 419870100 $972.2K 0.78% 71,855 SH
28 THERMO FISHER SCIENTIFIC INC TMO 883556102 $970.2K 0.78% 1,935 SH
29 WASTE MGMT INC DEL WM 94106L109 $959.0K 0.77% 4,302 SH
30 HOME DEPOT INC HD 437076102 $913.0K 0.73% 2,588 SH
31 UBER TECHNOLOGIES INC UBER 90353T100 $847.7K 0.68% 11,747 SH
32 VANGUARD WORLD FD VHT 92204A504 $730.5K 0.58% 2,442 SH
33 3M CO MMM 88579Y101 $679.5K 0.54% 4,197 SH
34 WALMART INC WMT 931142103 $608.4K 0.49% 5,371 SH
35 WEC ENERGY GROUP INC WEC 92939U106 $587.7K 0.47% 5,032 SH
36 VANGUARD INDEX FDS VTI 922908769 $585.6K 0.47% 1,582 SH
37 EDISON INTL EIX 281020107 $555.5K 0.44% 7,460 SH
38 HCA HEALTHCARE INC HCA 40412C101 $550.2K 0.44% 1,411 SH
39 APPLE HOSPITALITY REIT INC APLE 03784Y200 $544.1K 0.44% 32,370 SH
40 DTE ENERGY CO DTE 233331107 $499.2K 0.40% 3,276 SH
41 ENTERGY CORP NEW ETR 29364G103 $484.7K 0.39% 4,220 SH
42 BOEING CO BA 097023105 $476.0K 0.38% 2,199 SH
43 DT MIDSTREAM INC DTM 23345M107 $463.9K 0.37% 3,161 SH
44 ELI LILLY & CO LLY 532457108 $387.4K 0.31% 323 SH
45 NEXTERA ENERGY INC NEE 65339F101 $387.3K 0.31% 4,412 SH
46 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $358.4K 0.29% 480 SH
47 EXXON MOBIL CORP XOM 30231G102 $320.5K 0.26% 2,344 SH
48 AMERICAN ELEC PWR CO INC AEP 025537101 $289.4K 0.23% 2,115 SH
49 VANGUARD SCOTTSDALE FDS VCLT 92206C813 $272.6K 0.22% 3,622 SH
50 FIRSTENERGY CORP FE 337932107 $248.2K 0.20% 5,221 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-07-16 $125.0M 52 0002109295-26-000005
2026-03-31 2026-04-21 $108.8M 52 0002109295-26-000004
2025-12-31 2026-02-05 $111.9M 56 0002109295-26-000003
Filer Information
Address
4048 DELTONA BLVD.
SPRING HILL, FL 34606
Phone
(352) 238-6411
Filing Manager
Dougherty & Associates, LLC
Spring Hill, FL
Signatory
Seann A. Dougherty
CCO