Dorsey, Wright & Associates, Llc
- Regulatory AUM
- $1.0B
- Discretionary
- $1.0B
- Clients
- 840
- Avg AUM / client
- $1.2M
- Accounts
- 840
- Employees
- 25
AUM over time
Annual snapshots from Form ADV filings · as of Apr 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 327 | $90.8M | 8.98% |
| High net worth individuals | 479 | $330M | 32.6% |
| Investment companies | 6 | $537M | 53.0% |
| Pension and profit sharing plans | 10 | $40.8M | 4.03% |
| Charitable organizations | 4 | $2.8M | 0.28% |
| Corporations and other businesses | 11 | $10.2M | 1.01% |
| Other | 3 | $448K | 0.04% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Local 18 Int'l Assoc. Of Heat & Frost Insulators & Allied Workers Supplemental Pension Fund Board Of Trustees Local 18 Int'l Heat & Frost Insulators | 2024 |
People (22)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Johnson, Lisa, Patton | Chief Compliance Officer | Mar 2018 (8y) | Less than 5% | |
| John Gunnard Lewis | Senior Vice President, Dorsey Wright & Associates, Llc | Aug 2020 (6y) | Less than 5% | |
| Spurling, Emily, Elisabeth | Senior Vice President, Nasdaq | Jan 2022 (5y) | Less than 5% | |
| Pranay Dureja | Registered representative | Jan 2026 (1y) | ||
| Andrew Charles Hyer | Registered representative | CFP | Feb 2026 (0y) | |
| Anthony Garcia | Registered representative | Feb 2026 (0y) | ||
| Benjamin Hardin Jones | Registered representative | Feb 2026 (0y) | ||
| Connor Patrick Kamp | Registered representative | Feb 2026 (0y) | ||
| David Clinton Clark | Registered representative | Feb 2026 (0y) | ||
| Ian James Saunders | Registered representative | Feb 2026 (0y) | ||
| James Thomas West | Registered representative | Feb 2026 (0y) | ||
| Michael David Kaplan | Registered representative | Feb 2026 (0y) | ||
| Myron Charles Fuller | Registered representative | Feb 2026 (0y) | ||
| Miles Andrew Clark | Registered representative | Feb 2026 (0y) | ||
| Missael Macedo | Registered representative | Feb 2026 (0y) | ||
| Robert Anthony Deangelo | Registered representative | Feb 2026 (0y) | ||
| Steven Thomas Raymond | Registered representative | Feb 2026 (0y) | ||
| Sydney Siek | Registered representative | Feb 2026 (0y) | ||
| Trevor Brooks Plesko | Registered representative | Feb 2026 (0y) | ||
| Jay Michael Gragnani | Registered representative | Mar 2026 (0y) | ||
| Randall Dammers | Registered representative | Mar 2026 (0y) | ||
| Sara Mehle Marshall | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nasdaq, Inc. | Owner | Jan 2015 | A | 25% – 50% |
| Granite Redux, Inc. | Managing Member | Jan 2015 | A | 25% – 50% |
| Graniteblock, Inc. | Owner | Jan 2015 | A | 10% – 25% |
| Nasdaq, Inc. | Owner | Jan 2015 | B | ≈ 18.75% – 50% via Granite Redux, Inc. |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Nasdaq, Inc.: 75% – 100% of Granite Redux, Inc. × 25% – 50% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Local 18 Int'l Assoc. Of Heat & Frost Insulators & Allied Workers Supplemental Pension Fund | Board Of Trustees Local 18 Int'l Heat & Frost Insulators | 676 | $63.2M | 06/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 1.25 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Subscription fees
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Wells Fargo $136M (13% of AUM) Apr 2026
- Stifel, Nicolaus & Company, Incorporated $83.3M (15% of AUM) Feb 2019
- Charles Schwab & Co. $76.2M (8% of AUM) Apr 2026
- UBS $64.7M (9% of AUM) Jan 2026
- Morgan Stanley $55.5M (5% of AUM) Apr 2026
- RBC $48.9M (5% of AUM) Apr 2026
- Fidelity Distributors Company Llc $47.7M (5% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗