Asset manager · Richmond, VA
Nasdaq Dorsey Wright
Dorsey, Wright & Associates, LLC · SEC-registered investment adviser · CRD 104925 · SEC 801-29045
At a glance
Nasdaq Dorsey Wright is an SEC-registered investment adviser based in Richmond, Virginia, with $1.0 billion in regulatory assets under management as of its Form ADV filed April 1, 2026. Its largest client group by assets is investment companies, and it reports 806 individual clients. By Form ADV it is a asset manager, ranked 1,351st of 3,218 asset managers and 5,343rd of 17,210 SEC-registered advisers by assets.
Main office 804-320-8511dorseywright.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.0B
- Rank among asset managers
- #1,351 of 3,218
- Rank among all SEC RIAs
- #5,343 of 17,210
- Rank in Virginia
- #82 of 300
- Individual clients
- 806
- High-net-worth clients
- 479
- Accounts
- 840
- Discretionary
- 100% of AUM
- Employees
- 25
- Advisory staff
- 14
- Offices
- 2
Owners and executives on its Form ADV
- Lisa P. JohnsonChief Compliance Officer
- John G. LewisSenior Vice President, Dorsey Wright & Associates, LLC
- Emily E. SpurlingSenior Vice President, Nasdaq
Custody and brokerage
5 custodians
- Wells Fargo$136M37%
- Charles Schwab$76M21%
- Morgan Stanley$55M15%
- RBC$49M13%
- Fidelity Distributors Company$48M13%
Broker-dealer
Affiliated broker-dealer
It names affiliated broker-dealers: NPM Securities, LLC, Nasdaq Capital Markets Advisory LLC, Nasdaq Execution Services, LLC and Nfstx, LLC.
- NPM Securities, LLC ↗CRD 168469
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- Nasdaq Capital Markets Advisory LLC ↗CRD 104295
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Nasdaq Execution Services, LLC ↗CRD 7270
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Nfstx, LLC ↗CRD 172583
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 6 | $537M | 53% |
| High-net-worth individuals | 479 | $330M | 33% |
| Individuals | 327 | $91M | 9% |
| Pension and profit sharing plans | 10 | $41M | 4% |
| Corporations or other businesses | 11 | $10M | 1% |
| Charitable organizations | 4 | $3M | <1% |
| Other | 3 | $0M | <1% |
Disciplinary disclosures
Nasdaq Dorsey Wright reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
- Periodicals or newsletters
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Subscription fees
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗dorseywright.com ↗
AtlasMembers
The full record on Nasdaq Dorsey Wright
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 996 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Nasdaq Dorsey Wright manage?
Nasdaq Dorsey Wright reports $1.0 billion in regulatory assets under management across 840 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 1, 2026.
What kind of firm is Nasdaq Dorsey Wright?
Nasdaq Dorsey Wright is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are Nasdaq Dorsey Wright’s clients?
By assets, its largest client types are investment companies ($537 million, 6 clients); high-net-worth individuals ($330 million, 479 clients); individuals ($91 million, 327 clients).
Does Nasdaq Dorsey Wright have any disciplinary history?
Nasdaq Dorsey Wright reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Nasdaq Dorsey Wright’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →