Dock Street Asset Management Inc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 178
- Avg AUM / client
- $6.2M
- Accounts
- 437
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jul 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 87 | $236M | 21.3% |
| High net worth individuals | 90 | $849M | 76.5% |
| Charitable organizations | 1 | $25.4M | 2.28% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ogden, Daniel, Albert | President | Jan 1993 (34y) | 75% or more | |
| Ogden, Susan, Elizabeth | Secretary | Jan 1993 (34y) | Less than 5% | |
| Spencer J Ogden | Chief Compliance Officer | CFA | Jan 2021 (6y) | Less than 5% |
| Evan Richard Mcgoff | Registered representative | Jan 2021 (6y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/15/2026 | 1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $1.0B (91% of AUM) Jul 2026
- J.P. Morgan $55.9M (11% of AUM) Jun 2023
- Keybank National Association $54.9M (11% of AUM) Jun 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 15, 2026.
View current Form ADV (SEC/IAPD) ↗