D&
Dougherty & Associates, LLC 13F Portfolio & Top Holdings (Q2 2026)
Dougherty & Associates, LLCCIK: 0002109295
Diversified strategyLong-term holderQuality / disciplined sizing
Total reported value
$125.0M
Reporting period: 2026-06-30 · Number of holdings: 52
Dougherty & Associates, LLC disclosed 52 holdings in its latest 13F filing for the period ending 2026-06-30, with total reported value of $125.0M and a quarterly turnover rate of 0.0%.
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Personality snowflake
- Concentration
- 20.24
- Portfolio Stability
- 0
- Momentum
- 50
- Sector conviction
- 60.15
- Diversification
- 100
- Sizing Uniformity
- 87.11
Dougherty & Associates, LLC's disclosed holdings carry a Herfindahl concentration index of 0.051 — mathematically equivalent to about 20 equally-sized positions, well below its 52 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.29), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 70% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd PANW
+0.4% $2.6M
Add VGT
+719.9% $2.9M
Trim PFXF
-0.6% $99.3K
Trim MSFT
-9.3% -$294.5K
Add GOOGL
+0.3% $1.5M
Trim NVDA
-3.7% $1.3M
Holdings Map
New buyAddUnchangedTrim
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | NVDA | Nvidia CORP | Stock-Tech | 11.04% | -0.43% | -3.69% | |
| 2 | RCL | Royal Caribbean Cruises Ltd. | Stock-Consumer Disc | 9.40% | +0.06% | +0.10% | |
| 3 | VGT | Vanguard Info Tech ETF | ETF-Tech | 8.01% | +1.46% | +719.91% | |
| 4 | PFXF | Vaneck Pref Sec X-financials | ETF-Other | 7.27% | -0.99% | -0.60% | |
| 5 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 6.25% | +0.49% | +0.26% | |
| 6 | VOO | Vanguard S&p 500 ETF | ETF-Large Cap & Growth | 6.18% | +0.06% | +0.83% | |
| 7 | PANW | Palo Alto Networks Inc | Stock-Tech | 3.89% | +1.80% | +0.37% | |
| 8 | AAPL | Apple Inc | Stock-Tech | 3.63% | -0.01% | +0.25% | |
| 9 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 3.21% | +0.03% | +1.06% | |
| 10 | MSFT | Microsoft CORP | Stock-Tech | 2.50% | -0.64% | -9.32% | |
| 11 | QQQM | Invesco Nasdaq 100 ETF | ETF-Tech | 2.38% | +0.15% | -4.06% | |
| 12 | GE | General Electric | Stock-Industrials | 2.34% | +0.33% | +1.09% | |
| 13 | VPU | Vanguard Utilities ETF | ETF-Other | 2.33% | -0.27% | +4.42% | |
| 14 | PGR | Progressive CORP | Stock-Financials | 2.18% | -0.08% | +0.07% | |
| 15 | ANGL | Vaneck Fallen Angel High Yld | ETF-Other | 2.16% | -0.18% | +4.00% | |
| 16 | MAR | Marriott International -cl A | Stock-Consumer Disc | 1.98% | -0.04% | -0.83% | |
| 17 | DUK | Duke Energy CORP | Stock-Utilities | 1.96% | -0.32% | +2.15% | |
| 18 | META | Meta Platforms Inc-class A | Stock-Comm Services | 1.94% | -0.07% | +12.67% | |
| 19 | ED | Consolidated Edison Inc | Stock-Utilities | 1.80% | -0.27% | +1.91% | |
| 20 | BKNG | Booking Holdings Inc | Stock-Consumer Disc | 1.59% | — | +2614.36% | |
| 21 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.39% | +0.07% | -1.58% | |
| 22 | NVT | nVent Electric plc | Stock-Industrials | 1.26% | +0.24% | -0.89% | |
| 23 | V | Visa Inc-class A Shares | Stock-Financials | 1.24% | -0.04% | -1.94% | |
| 24 | SO | Southern Co/the | Stock-Utilities | 1.02% | -0.10% | +5.54% | |
| 25 | VIK | Viking Holdings Ltd | Stock-Consumer Disc | 0.93% | +0.26% | +11.62% | |
| 26 | GD | General Dynamics CORP | Stock-Industrials | 0.85% | -0.09% | — | |
| 27 | HE | Hawaiian Electric Inds | Stock-Utilities | 0.78% | -0.12% | +9.00% | |
| 28 | TMO | Thermo Fisher Scientific Inc | Stock-Healthcare | 0.78% | -0.14% | -4.63% | |
| 29 | WM | Waste Management Inc | Stock-Industrials | 0.77% | -0.13% | +0.40% | |
| 30 | HD | Home Depot Inc | Stock-Consumer Disc | 0.73% | -0.10% | -5.24% | |
| 31 | UBER | Uber Technologies Inc | Stock-Industrials | 0.68% | -0.01% | +13.12% | |
| 32 | VHT | Vanguard Health Care ETF | ETF-Other | 0.58% | -0.09% | -8.44% | |
| 33 | MMM | 3m Co | Stock-Industrials | 0.54% | -0.02% | — | |
| 34 | WMT | Walmart Inc | Stock-Consumer Staples | 0.49% | -0.14% | -2.66% | |
| 35 | WEC | Wec Energy Group Inc | Stock-Utilities | 0.47% | -0.08% | -2.52% | |
| 36 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.47% | -0.05% | -10.97% | |
| 37 | EIX | Edison International | Stock-Utilities | 0.44% | -0.02% | +8.94% | |
| 38 | HCA | Hca Healthcare Inc | Stock-Healthcare | 0.44% | -0.07% | +20.91% | |
| 39 | APLE | Apple Hospitality Reit Inc | Stock-Real Estate | 0.44% | +0.10% | +0.31% | |
| 40 | DTE | Dte Energy Company | Stock-Utilities | 0.40% | -0.04% | +0.77% | |
| 41 | ETR | Entergy CORP | Stock-Utilities | 0.39% | -0.05% | +0.09% | |
| 42 | BA | Boeing Co/the | Stock-Industrials | 0.38% | -0.02% | — | |
| 43 | DTM | Dt Midstream Inc | Stock-Energy | 0.37% | -0.02% | +0.67% | |
| 44 | LLY | Eli Lilly & Co | Stock-Healthcare | 0.31% | +0.02% | -5.83% | |
| 45 | NEE | Nextera Energy Inc | Stock-Utilities | 0.31% | -0.07% | +0.02% | |
| 46 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.29% | — | — | |
| 47 | XOM | Exxon Mobil CORP | Stock-Energy | 0.26% | -0.11% | — | |
| 48 | AEP | American Electric Power | Stock-Utilities | 0.23% | -0.02% | +0.09% | |
| 49 | VCLT | Vanguard Long-term CORP Bond | ETF-Corp Bonds | 0.22% | -0.03% | +0.14% | |
| 50 | FE | Firstenergy CORP | Stock-Utilities | 0.20% | -0.04% | +0.10% |
1–50 of 52
Portfolio Performance
Performance for Q3 2026
+1.6%
Performance Last 4 Quarters
+9.9%
- Stdev
- +16.3%
- Beta
- +0.86
- Alpha
- -1.1%
- Max Drawdown
- 0%
- Annualized Perf
- +20.7%
- Batting Avg vs S&P
- +33.3%
- Sortino
- +2.79
- Stutzer
- +0.4
- Treynor
- +0.23
- Sterling
- —
- Calmar
- +2,098.48
- Information Ratio
- -1.11
- Tracking Error
- +4.2%
- Stdev Down
- +7.2%
- Winning Months %
- +66.7%
- Losing Months %
- +33.3%
- Best 12 Months
- —
- Worst 12 Months
- —
- Efficiency Ratio
- +0.49
- Sharpe
- +1.23
- Stdev Sectors
- +10%
- Skewness
- +0.19
- Kurtosis
- -0.62
- Upside Potential
- +4.21
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Dougherty & Associates, LLC's most significant position changes for 2026-06-30: Sold out: Spdr Gold Shares (GLD); New buy: Ss Spdr Dow Jones Indus Avg (DIA); Add: Palo Alto Networks Inc (PANW) — shares +0.37%; Add: Vanguard Info Tech ETF (VGT) — shares +719.91%; Trim: Vaneck Pref Sec X-financials (PFXF) — shares -0.60%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | PANW | Palo Alto Networks Inc | +1.8% | +0.37% | Add |
| 2 | VGT | Vanguard Info Tech ETF | +1.5% | +719.91% | Add |
| 3 | GOOGL | Alphabet Inc-cl A | +0.5% | +0.26% | Add |
| 4 | GE | General Electric | +0.3% | +1.09% | Add |
| 5 | VIK | Viking Holdings Ltd | +0.3% | +11.62% | Add |
| 6 | NVT | nVent Electric plc | +0.2% | -0.89% | Trim |
| 7 | DIA | Ss Spdr Dow Jones Indus Avg | +0.2% | NEW | New buy |
| 8 | QQQM | Invesco Nasdaq 100 ETF | +0.2% | -4.06% | Trim |
| 9 | APLE | Apple Hospitality Reit Inc | +0.1% | +0.31% | Add |
| 10 | GOOG | Alphabet Inc-cl C | +0.1% | -1.58% | Trim |
| 11 | RCL | Royal Caribbean Cruises Ltd. | +0.1% | +0.10% | Add |
| 12 | VOO | Vanguard S&p 500 ETF | +0.1% | +0.83% | Add |
| 13 | AMZN | Amazon.com Inc | 0% | +1.06% | Add |
| 14 | LLY | Eli Lilly & Co | 0% | -5.83% | Trim |
| 15 | BKNG | Booking Holdings Inc | — | +2614.36% | Add |
| 16 | SPY | Ss Spdr S&p 500 ETF Trust-us | — | — | Unchanged |
| 17 | AAPL | Apple Inc | 0% | +0.25% | Add |
| 18 | UBER | Uber Technologies Inc | 0% | +13.12% | Add |
| 19 | MMM | 3m Co | 0% | — | Unchanged |
| 20 | EIX | Edison International | 0% | +8.94% | Add |
| 21 | DTM | Dt Midstream Inc | 0% | +0.67% | Add |
| 22 | BA | Boeing Co/the | 0% | — | Unchanged |
| 23 | AEP | American Electric Power | 0% | +0.09% | Add |
| 24 | XEL | Xcel Energy Inc | 0% | — | Unchanged |
| 25 | VCLT | Vanguard Long-term CORP Bond | 0% | +0.14% | Add |
| 26 | MAR | Marriott International -cl A | 0% | -0.83% | Trim |
| 27 | V | Visa Inc-class A Shares | 0% | -1.94% | Trim |
| 28 | DTE | Dte Energy Company | 0% | +0.77% | Add |
| 29 | FE | Firstenergy CORP | 0% | +0.10% | Add |
| 30 | VTI | Vanguard Total Stock Mkt ETF | -0.1% | -10.97% | Trim |
| 31 | ETR | Entergy CORP | -0.1% | +0.09% | Add |
| 32 | META | Meta Platforms Inc-class A | -0.1% | +12.67% | Add |
| 33 | NEE | Nextera Energy Inc | -0.1% | +0.02% | Add |
| 34 | HCA | Hca Healthcare Inc | -0.1% | +20.91% | Add |
| 35 | PGR | Progressive CORP | -0.1% | +0.07% | Add |
| 36 | WEC | Wec Energy Group Inc | -0.1% | -2.52% | Trim |
| 37 | GD | General Dynamics CORP | -0.1% | — | Unchanged |
| 38 | VHT | Vanguard Health Care ETF | -0.1% | -8.44% | Trim |
| 39 | SO | Southern Co/the | -0.1% | +5.54% | Add |
| 40 | HD | Home Depot Inc | -0.1% | -5.24% | Trim |
| 41 | XOM | Exxon Mobil CORP | -0.1% | — | Unchanged |
| 42 | HE | Hawaiian Electric Inds | -0.1% | +9.00% | Add |
| 43 | WM | Waste Management Inc | -0.1% | +0.40% | Add |
| 44 | WMT | Walmart Inc | -0.1% | -2.66% | Trim |
| 45 | TMO | Thermo Fisher Scientific Inc | -0.1% | -4.63% | Trim |
| 46 | ANGL | Vaneck Fallen Angel High Yld | -0.2% | +4.00% | Add |
| 47 | GLD | Spdr Gold Shares | -0.3% | EXIT | Sold out |
| 48 | VPU | Vanguard Utilities ETF | -0.3% | +4.42% | Add |
| 49 | ED | Consolidated Edison Inc | -0.3% | +1.91% | Add |
| 50 | DUK | Duke Energy CORP | -0.3% | +2.15% | Add |
1–50 of 53
Filing History
FAQ
What is Dougherty & Associates, LLC and what type of investor is it?
Dougherty & Associates, LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-06-30), the firm manages a tracked equity portfolio valued at approximately $125.0M, spread across 52 disclosed positions.
What are Dougherty & Associates, LLC's largest equity positions?
Based on the latest 13F filing, Dougherty & Associates, LLC's top holdings by market value are:
1. Nvidia CORP (NVDA) — $13.8M (11.0%)
2. Royal Caribbean Cruises Ltd. (RCL) — $11.7M (9.4%)
3. Vanguard Info Tech ETF (VGT) — $10.0M (8.0%)
4. Vaneck Pref Sec X-financials (PFXF) — $9.1M (7.3%)
5. Alphabet Inc-cl A (GOOGL) — $7.8M (6.3%)
What changes did Dougherty & Associates, LLC make in its most recent portfolio filing?
In the latest reported quarter, Dougherty & Associates, LLC made 47 notable position adjustments: 1 new positions were initiated, 30 existing holdings were added to, 15 positions were partially reduced, and 1 were completely exited. The largest of these moves: Sold out: Spdr Gold Shares (GLD); New buy: Ss Spdr Dow Jones Indus Avg (DIA); Add: Palo Alto Networks Inc (PANW) — shares +0.37%; Add: Vanguard Info Tech ETF (VGT) — shares +719.91%; Trim: Vaneck Pref Sec X-financials (PFXF) — shares -0.60%
What sectors does Dougherty & Associates, LLC focus on?
Dougherty & Associates, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 30.1%
• Consumer Discretionary: 25.5%
• Communication Services: 13.7%
• Utilities: 11.7%
• Industrials: 9.8%
• Financials: 4.9%
Investment Profile
Dougherty & Associates, LLC returned an annualized 20.7% over the trailing 6 months — underperforming the S&P 500 by 1.1 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.86 (less volatile than the market) and a 33% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding, with 30.1% of the portfolio concentrated in Information Technology.
It has added to its NVT position over the past two quarters (+$593.2K, now $1.6M), while trimming TMO over the same stretch (-$267.4K, still holding $970.2K).
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