Dougherty & Associates, LLC
SEC Form 13F institutional filer · CIK 0002109295
13F-HR · 40 reported holdings · 2026-03-31
Reported long-US-equity value
$0.08B
Top-10 concentration
65.3%
Dougherty & Associates, LLC — $82.5M AUM allocation strategy
Dougherty & Associates, LLC files SEC Form 13F and reports $82.5M of long US equity value across 40 reported holdings for 2026-03-31.
Its largest sector bet is Information Technology 26.9%, followed by Consumer Discretionary 21.3% and Communication Services 12.0%.
The top 10 holdings account for 65% of reported value — a conviction-weighted book concentrated in its best ideas. The sector and industry splits below are of the same reported value. Track quarter-over-quarter adds, trims, new positions and exits below — sourced from SEC 13F filings, public domain.
Dougherty & Associates, LLC — latest SEC 13F insights
Reported long-US-equity value (13F AUM)
$82.5M
total across 40 reported holdings · 2026-03-31 · excludes shorts, cash, non-US
Top-10 concentration
65% of value
higher = narrower conviction; lower = spread / hedging
Biggest adds (shares)
+$UBER +4.01K sh · +$227K+$MSFT +2.77K sh · +$295K+$PGR +1.55K sh · −$14.4K
Biggest trims (shares)
−$NVDA −7.86K sh · −$2.33M−$RCL −1.87K sh · −$659K−$HD −628 sh · −$258K
Added from nil (new positions)
None this quarter
Exited to nil (held last quarter, gone now)
$ORCL ($215K last qtr)$TSLA ($213K last qtr)$PG ($206K last qtr)
Sector allocation (share of reported value)
each slice is a share of the reported long-US-equity value — smaller sectors and the rest of the book roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Industry allocation (share of reported value)
- Hotels, Resorts & Cruise Lines17.1%—
- Semiconductors15.1%—
- Interactive Media & Services12.0%—
- Systems Software6.9%—
- Technology Hardware, Storage & Peripherals4.8%—
- Electric Utilities4.5%—
- Broadline Retail4.2%—
- Aerospace & Defense3.9%—
- Other holdings31.5%—
the finer GICS cut of the same book — same denominator — smaller industries roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Top S&P 500 holdings
8 of 8 rows · sorted by Value ↓
| Ticker | Holding | Shares | Value | Δ QoQ | Weight |
|---|---|---|---|---|---|
| $NVDA | NVIDIA Corporation | 71.6K | $12.5M | -7.86K | 15.1% |
| $RCL | Royal Caribbean Cruises Ltd | 36.9K | $10.2M | -1.87K | 12.3% |
| $GOOG | Alphabet Inc. Class C Capital Stock | 21.8K | $6.27M | -350 | 7.6% |
| $AAPL | Apple Inc | 15.6K | $3.97M | -200 | 4.8% |
| $AMZN | Amazon.com Inc | 16.6K | $3.47M | +1.43K | 4.2% |
| $MSFT | Microsoft Corporation | 9.22K | $3.42M | +2.77K | 4.1% |
| $DUK | Duke Energy Corporation | 19K | $2.48M | +266 | 3.0% |
| $PGR | Progressive Corporation | 12.4K | $2.47M | +1.55K | 3.0% |
…and 32 more holdings in the full 13F filing (top positions only shown).
SEC Form 13F data sets · public domain · 45-day filing lag · >$100M AUM managers · as reported
← All 13F filers·← QuantOrb.pro
How to read Δ QoQ — the five insight categories, and the caveats
The categories. Analysts, quants and retail traders look past total portfolio value to isolate actionable signals. Five categories matter.
Conviction & concentration shifts
New positions vs complete exits — a brand-new stock signals high conviction; a full liquidation suggests a broken thesis or tax-loss harvesting. Aggressive sizing — look at share count, not dollars: a 20% share increase during a drawdown is strong dip-buying. Concentration — a narrowing top-5/10 means conviction; spreading capital across more names means hedging.
Sector & macro allocation rotations
Aggregating Δ QoQ moves across sectors shows where smart money is leaning in or sneaking out — rotating out of growth into defensives or energy, for example. The fund's total long equity exposure quarter-over-quarter is a proxy for overall institutional risk appetite.
Crowding & smart-money consensus
When several managers initiate or expand the same stock in the same quarter, that is institutional consensus. Contrarian reads: top pickers buying hard into a beaten-down name the market is selling.
Derivative & option overlays
Reported call/put changes indicate whether managers are adding downside hedges or leveraging upside exposure. Note: a long increase may be half of a market-neutral pair trade.
Who reads this
| Retail "cloners" | High-conviction ideas to replicate ~45 days after quarter-end. |
| Corporate IR | Which funds bought or dumped the stock, before the next call. |
| Quant / algo traders | Cross-sectional factor inputs: flow, momentum, ownership. |
Four caveats before you trade on it
- 45-day lag — holdings are quarter-end; positions may already be closed.
- Long-only — 13Fs miss shorts, pair trades and cash.
- No non-US / fixed income — the picture is US equities plus options.
- Corporate actions — splits and spinoffs distort raw share deltas.
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