{"url":"https://nivawealth.com/firms/dock-street-asset-management-111163","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111163","regulatoryAum":1110121633,"crd":"111163","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5917091","suffix":null,"lastName":"MCGOFF","firstName":"EVAN","middleName":"RICHARD"},{"crd":"4980134","suffix":null,"lastName":"OGDEN","firstName":"SPENCER","middleName":"J"},{"crd":"8313389","suffix":null,"lastName":"Samson","firstName":"Justin","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-26","regulatoryAum":585071919,"clients":89,"employees":4,"offices":4},{"filedOn":"2022-04-27","regulatoryAum":693462289,"clients":111,"employees":4,"offices":4},{"filedOn":"2023-06-29","regulatoryAum":514638875,"clients":123,"employees":6,"offices":3},{"filedOn":"2024-07-31","regulatoryAum":732926846,"clients":131,"employees":6,"offices":3},{"filedOn":"2025-04-14","regulatoryAum":905798171,"clients":161,"employees":6,"offices":3},{"filedOn":"2026-07-15","regulatoryAum":1110121633,"clients":178,"employees":6,"offices":3}],"secFileNumber":"801-43547","legalName":"Dock 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dock Street Asset Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Dock Street Asset Management charge?","answer":"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.","source":"DOCK STREET ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dock Street Asset Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dock Street Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dock Street Asset Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Dock Street Asset Management have a minimum investment?","answer":"Yes, Dock Street Asset Management’s minimum account size for its Investment advisory fee is $10M.","source":"DOCK STREET ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Dock Street Asset Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dock Street Asset Management get paid?","answer":"Dock Street Asset Management is paid through a percentage of assets under management. 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