Overview
Doheny Asset Management, LLC is a SEC-registered investment adviser with its principal
place of business located in California. Doheny Asset Management, LLC began conducting
business in 1993.
Listed below are the firm's principal shareholders (i.e., those individuals and/or entities
controlling 25% or more of this company).
Doheny Asset Management was sold to Sean O’Neill and Will Doheny III. The contract was
signed on 12/5/2022 and went into effect on 01/01/2022.
• Will Doheny III, Member, 25% ownership.
• Sean O’Neill, Managing Partner/Chief Compliance Officer, 75% ownership.
Doheny Asset Management, LLC offers the following advisory services to our clients:
INDIVIDUAL PORTFOLIO MANAGEMENT
Our firm provides continuous asset management of client funds based on the individual
needs of the client. Through personal discussions in which goals and objectives based on the
client's particular circumstances are established, we develop the client's personal investment
policy. We create and manage a portfolio based on that policy. During our data-gathering
process, we determine the client’s individual objectives, time horizons, risk tolerance, and
liquidity needs. As appropriate, we may also review and discuss a client’s prior investment
history, as well as family composition and background.
We manage these advisory
accounts on a discretionary basis. Account supervision is guided
by the client's stated objectives (i.e., maximum capital appreciation, growth, income, or
growth and income), as well as tax considerations.
Clients may impose reasonable restrictions on investing in certain securities, types of
securities, or industry sectors.
Once the client's portfolio has been established, we review the portfolio weekly, and if
necessary, rebalance the portfolio accordingly, based on the client's individual needs.
Our investment recommendations are not limited to any specific product or service offered by
a broker-dealer or insurance company and will generally include advice regarding the
following securities:
• Exchange-listed securities
• Securities traded over-the-counter
• Warrants
• Corporate debt securities (other than commercial paper)
• Municipal securities
• Mutual fund shares
• United States governmental securities
Because some types of investments involve certain additional degrees of risk, they will only
be implemented when consistent with the client's stated investment objectives, tolerance for
risk, liquidity and suitability.
AMOUNT OF MANAGED ASSETS
As of 12/31/2022, we were actively managing approximately $107,313,901 of clients' assets
on a discretionary basis.