Other Resources

When appropriate, Dougherty & Associates forms alliances with firms that offer distinct tools to complement our core financial services. Our focus is on quality rather than quantity, therefore our list of alliances is not extensive. Rather, it represents firms that have demonstrated a shared commitment toward high quality service, resources and values.

Dimensional Fund Advisors
Our passive asset class investment approach is translated by Dimensional Fund Advisors (DFA) into an array of mutual funds, each of which is rigorously designed to capture a particular “dimension” or asset class within a globally diversified portfolio. (DFA is our primary but not exclusive source for implementing our recommended investment approach. Dougherty & Associates receives no compensation from DFA for using its funds nor are we under any obligation to use them if they do not best meet your particular investment needs.)

Account Custodians
If you are an individual investor, Dougherty & Associates provides investment advice, receives Limited Power of Attorney to submit trade requests on your behalf, and provides you with regular reports that summarize your portfolio’s performance. However, you remain in control of your assets by having them held in accounts in your name at one or more of our alliance custodians. Your advisor will assist you in selecting which custodians make the most sense for your individual or retirement plan accounts from options such as Fidelity Brokerage Services, Inc., Charles Schwab & Co., TIAA/CREF and Union Bank of California.

Retirement Plan Providers
To assist us in delivering high-service, low-cost retirement plan management guided by our prudent investment philosophy, Dougherty & Associates has allied itself with a collection of retirement plan providers, each of whom offer quality administration based on the latest technological innovations in their industry. Our current alliances include BenefitStreet, First Mercantile Trust and Union Bank of California.

Trust Management – Santa Fe Trust
Santa Fe Trust is an independent trust company that provides personal trust account administration, working with us for trust account investment management.

Annuity Management – AEGON
Dougherty & Associates does not typically recommend annuities as a cost-effective investment vehicle, but if you already hold an annuity that is restricted from or cost-prohibitive to surrender, you may be able to transfer it to an alternative annuity. AEGON can enable access to Dimensional Fund Advisor sub-accounts within a no-load, relatively low-cost variable annuity.