Nasdaq Dorsey Wright

RIASEC Registered

Total AUM

$1B

Discretionary

$1B

100% of AUM

Avg account

$1.2M

Accounts

840

Employees

Advisory reps

Firm details

Headquarters: Richmond, Virginia
CRD number: 104925
Registered since: March 6, 1987
Website: www.nasdaq.com
Custodians: WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, CHARLES SCHWAB & CO., INC., MORGAN STANLEY & CO. LLC, RBC CAPITAL MARKETS, LLC, FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Hourly Charges, Subscription Fees, Fixed Fees
Client types: Investment Companies53.03%
HNWI32.62%
Individuals8.98%
Pension & Profit Sharing Plans4.03%
Corporations / Businesses1.01%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional ClientsPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Nasdaq Dorsey Wright LLC is an institutional registered investment adviser that has been SEC-registered since 1987. The firm serves both individual/family clients and institutional accounts, and its legal form is a limited liability company. Its advisory services span portfolio management for individuals and small businesses, management for investment companies and institutional clients, publication of periodicals/newsletters, and educational seminars or workshops. The firm also identifies itself as a Commodity Pool Operator or Commodity Trading Advisor in its business activities and lists itself as an active ESG investor. Fees are charged through a mix of percentage-of-AUM, hourly, subscription, and fixed-fee arrangements. The firm’s ownership is listed as a domestic entity and individual combination, and it classifies itself as an institutional RIA rather than a capital allocator.