Kathleen A. Dougherty-klein

KOVITZ INVESTMENT GROUP PARTNERS | Wealth Advisor

Milwaukee, WI 53224

Some features on this profile are disabled

CRD#: 2018508

Professional summary

Kathleen Anne Dougherty-klein, CFP®, who also goes by Kathleen Dougherty, Kathleen Anne Dougherty-klein, Kathleen A Doughertyklein, Kathleen A Dougherty Klein, Kathleen Anne Klein, Kathleen Dougherty Klein, Kathy Klein, is a registered financial advisor currently at KOVITZ INVESTMENT GROUP PARTNERS, LLC located in Milwaukee, Wisconsin.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Kathleen has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LEAVE A LEGACY, P.O. BOX 702, ELM GROVE WI, 53122. NATURE OF BUSINESS: NON-PROFIT GROUP. TITLE: BOARD OF DIRECTOR. DUTIES: SERVE AS ADVOCATE, PROMOTE ITS OBJECTIVES AND EDUCATE ON THE METHODS AND BENEFITS OF CHARITABLE GIVING. TIME DEVOTED: 4 HOURS PER MONTH. START DATE: AUGUST 2001 - TWO YEAR COMMITMENT. NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Dougherty-klein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

January 6, 2025 - Present

KOVITZ INVESTMENT GROUP PARTNERS, LLC

Office #1: 11270 W. Park Place Suite 900, Milwaukee, WI 53224

RIA

CRD#: 282241

Milwaukee, WI

Past

May 14, 2024 - December 31, 2024

KOVITZ INVESTMENT GROUP PARTNERS, LLC

RIA

CRD#: 282241

Milwaukee, WI

Past

January 3, 2018 - May 6, 2024

STRATEGIC WEALTH PARTNERS

RIA

CRD#: 174052

Milwaukee, WI

Past

March 10, 2014 - January 9, 2018

PPCM, INC.

RIA

CRD#: 105154

MILWAUKEE, WI

Past

April 21, 2004 - February 26, 2014

MARIETTA INVESTMENT PARTNERS, LLC

RIA

CRD#: 108479

MILWAUKEE, WI

Past

March 19, 2001 - April 28, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

January 9, 2001 - April 27, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

September 10, 1993 - December 31, 2000

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

February 20, 1990 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

February 20, 1990 - August 24, 1993

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KOVITZ INVESTMENT GROUP PARTNERS, LLC

CRD#: 282241 / SEC#: 801-107054

RIA

Registered Investment Advisory firm - (12/24/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(1/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KOVITZ INVESTMENT GROUP PARTNERS, LLC

CRD#: 282241 / SEC#: 801-107054

RIA

Registered Investment Advisory firm - (12/24/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10 S Wacker Drive Suite 2600, Chicago, IL 60606

Mailing Address

Phone number

(312) 334-7300

Established

Firm type

Fiscal year end

# of Employees

372

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KOVITZ FORM ADV PART 2A - AUGUST 2025 (11/10/2025)

KOVITZ_NORTHCOAST DBA FORM ADV PART 2A (11/10/2025)

KOVITZ WEATHERSTONE DBA DISCLOSURE BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	38,915
AUM (Assets Under Management)	$ 31,731,798,984

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
08/15/2024	Cover Page	Report
07/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen A. Dougherty-klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Dougherty-klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVITZ INVESTMENT GROUP PARTNERS, LLC

STRATEGIC WEALTH PARTNERS

PPCM, INC.

MARIETTA INVESTMENT PARTNERS, LLC

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

GROVE POINT INVESTMENTS, LLC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

KOVITZ INVESTMENT GROUP PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2001

Series 63

Date: 2/27/1990

Series 7

Date: 2/22/2001

Series 6

Date: 2/16/1990

Current Firm

KOVITZ INVESTMENT GROUP PARTNERS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KOVITZ INVESTMENT GROUP PARTNERS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors