Dougherty Wealth Advisers LLC

Dougherty Wealth Advisers LLC, a Limited Liability Company based in Delaware, has been approved by the SEC as of June 26, 2015, and is legally registered under that name. Boasting two employees with both fulfilling advisory positions, Dougherty Wealth Advisers LLC has an undisclosed number of clients under its care.

• DOUGHERTY FINANCIAL GROUP LLC

  MEMBER owns 75% or more

• ROGER ALLAN NORRIS

  CHIEF COMPLIANCE OFFICER owns less than 5%

• THOMAS FRANCIS STEICHEN

  GENERAL COUNSEL, SECRETARY owns less than 5%

• TODD DAVID WITCRAFT

  CHIEF EXECUTIVE OFFICER, TREASURER owns less than 5%

• MICHAEL E. DOUGHERTY REVOCABLE TRUST DATED MARCH 27, 2006

  MEMBER owns more than 50% but less than 75%

• MICHAEL EMMETT DOUGHERTY

  TRUSTEE owns more than 50% but less than 75%

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