Dock Street Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions. Financial planning was provided to 51–100 clients last fiscal year.
Dock Street Asset Management reports 178 clients. They include 90 high-net-worth individuals, 87 individual clients and 1 charitable organization. Of its assets, 97.5% ($1.08B across 435 accounts) are managed with discretion; $27.3M across 2 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 49% | 21% |
| High-net-worth individuals | 51% | 76% |
| Charitable organizations | <1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 87 | $236M | 21.3% | $2.71M |
| High-net-worth individuals | 90 | $849M | 76.5% | $9.43M |
| Charitable organizations | Fewer than 5 | $25.4M | 2.3% | $25.4M |
| Total | 178 | $1.11B | 100% | — |
- Clients
- 87
- Regulatory AUM
- $236M
- AUM share
- 21.3%
- Avg. per client
- $2.71M
- Clients
- 90
- Regulatory AUM
- $849M
- AUM share
- 76.5%
- Avg. per client
- $9.43M
- Clients
- Fewer than 5
- Regulatory AUM
- $25.4M
- AUM share
- 2.3%
- Avg. per client
- $25.4M
Total
- Clients
- 178
- Regulatory AUM
- $1.11B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Dock Street Asset Management charges 0.70% a year for its Investment advisory fee. The whole portfolio is charged at the rate of its band. The fee is billed in advance, is negotiable and requires an account of at least $10,000,000.
| Asset band | Annual rate |
|---|---|
| $0 and above | 0.70% |
Fee details and sources
Daniel Ogden owns 75% or more of Dock Street Asset Management. The leadership team of Dock Street Asset Management includes President Spencer Ogden and Chief Investment Officer Evan McGoff. It has 6 employees, 4 of them in advisory roles.
Leadership
- Spencer OgdenChief Compliance Officer & President
- Evan McGoffChief Investment Officer
- Daniel OgdenChairman
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Evan Richard McGoff
- Spencer J Ogden
- Justin Samson
Staff
- 6 employees
- 4 in advisory functions
- 2 state-registered reps
- 1 soliciting firm
- Owns 75% or more of Dock Street Asset Management Inc
Daniel Ogden
Control person · since January 1993
Dock Street Asset Management’s regulatory assets grew 1.9× from $585M (March 2021) to $1.11B (July 2026); clients rose from 89 to 178 and employees from 4 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $1.11B | 178 | 6 | 3 |
| April 2025 | $906M | 161 | 6 | 3 |
| July 2024 | $733M | 131 | 6 | 3 |
| June 2023 | $515M | 123 | 6 | 3 |
| April 2022 | $693M | 111 | 4 | 4 |
| March 2021 | $585M | 89 | 4 | 4 |
Besides its headquarters, Dock Street Asset Management has 2 offices (2 private residences, listed without an address), with 1 listed address in Florida.
Florida · 1 listed address
- 2875 South Ocean BLVD, Suite 200-46, Palm BeachHQ
Contact and registration details
- Legal name
- Dock Street Asset Management Inc
- Headquarters
- 2875 South Ocean BLVD, Suite 200-46, Palm Beach, FL 33480
- Website
- dockstreet.com
- Phone
- 203-532-9470
- @dock-street-asset-management
- SEC file
- 801-43547
- Structure
- Connecticut corporation
- Fiscal year end
- December
Dock Street Asset Management uses Charles Schwab ($1.01B) as custodian for its separately managed accounts. Dock Street Asset Management has custody of $398M in client assets for 56 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.01B100%
At year end, Dock Street Asset Management’s separately managed accounts were mostly in stocks (92%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.08B across 64 positions; the largest are Nvidia Corporation (18.7%), Amazon Com Inc. (8.2%) and Palantir Technologies Inc. (8.1%).
What the accounts hold
- Stocks92%
- Exchange-traded equities88%
- Non-exchange-traded equities4%
- Bonds5%
- U.S. government and agency bonds4%
- State and local bonds1%
- Cash2%
- Other1%
- Private investment1%
Reported 13F holdings
- $1.08B
- Reported 13F value
- 64
- Positions
- 70.8%
- In the 10 largest
- +13.7%
- Value vs. prior quarter
- Nvidia Corporation18.7%
- Amazon Com Inc.8.2%
- Palantir Technologies Inc. · CL A8.1%
- Taiwan Semiconductor Manufac · Sponsored ADS7.1%
- Alphabet Inc. · Cap Stk CL C6.9%
- ARM Holdings PLC · Sponsored ADS6.9%
- Visa Inc. · Com CL A4.7%
- Mastercard Incorporated · CL A3.5%
- Microsoft Corp.3.3%
- Meta Platforms Inc. · CL A3.3%
Together, the ten largest are 70.8% of reported value.
How many clients does Dock Street Asset Management have?
Dock Street Asset Management has 178 clients and manages $1.11 billion for them, as of July 2026. They include 90 high-net-worth individuals, 87 individual clients and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 15 July 2026
What services does Dock Street Asset Management offer?
Dock Street Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Dock Street Asset Management charge?
Dock Street Asset Management charges 0.70% a year for its Investment advisory fee. The whole portfolio is charged at the rate of its band. The fee is billed in advance, is negotiable and requires an account of at least $10,000,000.
Which custodians does Dock Street Asset Management use?
Dock Street Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.01B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 July 2026
How many financial advisors does Dock Street Asset Management have?
Dock Street Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Dock Street Asset Management invest in?
At the end of its last fiscal year, Dock Street Asset Management’s separately managed accounts held 88% exchange-traded equities, 4% non-exchange-traded equities, 4% U.S. government and agency bonds, 2% cash and equivalents, 1% state and local bonds and 1% other. The 1% other category is described as: Private Investment.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Dock Street Asset Management have a minimum investment?
Yes, Dock Street Asset Management’s minimum account size for its Investment advisory fee is $10M.
Who owns Dock Street Asset Management?
Dock Street Asset Management’s direct owner is Daniel Ogden (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 15 July 2026
How does Dock Street Asset Management get paid?
Dock Street Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Dock Street Asset Management registered with the SEC?
Yes, Dock Street Asset Management has been registered with the SEC as an investment adviser since 19 March 1993. Its CRD number is 111163 and its SEC file number is 801-43547.
Source: Form ADV Part 1A, Item 1, filed 15 July 2026; IAPD firm record
How do I contact Dock Street Asset Management?
Dock Street Asset Management’s main office is at 2875 South Ocean BLVD, Suite 200-46, Palm Beach, FL 33480. Its phone number is 203-532-9470. Its website is dockstreet.com.