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NASDAQ DORSEY WRIGHT

RICHMOND, VA · CRD 104925 · IAPD ↗ · 804-320-8511

$1.01BRegulatory AUM
14Advisory reps
25Employees
0Clients
0Planning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — DORSEY, WRIGHT & ASSOCIATES, LLC is now doing business as NASDAQ DORSEY WRIGHT.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
85
April 2026 — NASDAQ DORSEY WRIGHT crossed $1B in regulatory AUM ($755.1M -> $1.01B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
53
February 2026 — DORSEY, WRIGHT & ASSOCIATES, LLC notice-filed in AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2025 — DORSEY, WRIGHT & ASSOCIATES, LLC reported RAUM up 30% ($578.9M -> $755.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.