DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
D••• S••••• A•••• M••••••••• I••
Latest filing Jul 15, 2026
First filing on the tape Mar 8, 2012 · 43 filings
SEC status approved since Mar 19, 1993
RAUM
$1.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$370M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.1B as of Jul 15, 2026
Mar 8, 2012$338M then
HNW client RAUM$849M as of Jul 15, 2026
Mar 22, 2018$331M then
State-registered IARs (5.B.3)2 as of Jul 15, 2026
Mar 8, 20120 then
Employees (5.A)6 as of Jul 15, 2026
Feb 15, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year+29% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $370MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $398M, 56 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$849M76%
- Individuals$236M21%
- Charitable organizations$25.4M2.3%
- Individual clients
- 87reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 437reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $398M for 56 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• R•••••• M••••• | Palm Beach, Fl | Jan 8, 2021 | 17 y | 0 |
| S•••••• J• O••••Chartered Financial Analyst | Newport, Ri | Jan 20, 2021 | 19 y | 0 |
| J••••• S••••• | Downingtown, Pa | Jul 20, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• D•••••• A••••• · Chairmancontrolsince 01/1993 · owns 75% or more
- O••••• S••••••• J• · Chief Compliance Officer & Presidentcontrolsince 01/2023 · owns less than 5%
- M•••••• E•••• R•••••• · Chief Investment Officersince 05/2024 · owns less than 5%
- O••••• S••••• E•••••••• · Secretarysince 01/1993 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••••• A••••••• P••••••• I•• L••pooled vehicle sponsory
- M•••••••• A••••••• P••••••• V•• L••pooled vehicle sponsory
Advisers that list D••• S••••• A•••• M••••••••• I•• as a related person
- 143872 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 398 to 437Oct 10, 2025 to Mar 30, 2026
- Charity clients · 4 to 1Oct 10, 2025 to Mar 30, 2026
- HNW clients · 82 to 90Oct 10, 2025 to Mar 30, 2026
- Individual clients · 75 to 87Oct 10, 2025 to Mar 30, 2026
- Assets in custody · $194M to $398MOct 10, 2025 to Mar 30, 2026
- Financial planning clients · to 51-100Oct 10, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 2Oct 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $903M to $1.1BOct 10, 2025 to Mar 30, 2026
- HNW RAUM · $749M to $849MOct 10, 2025 to Mar 30, 2026
- Individual RAUM · $137M to $236MOct 10, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.7M to $27.3MOct 10, 2025 to Mar 30, 2026
- RAUM · $906M to $1.1BOct 10, 2025 to Mar 30, 2026
- Accounts · 355 to 398Oct 9, 2024 to Apr 14, 2025
- Charity clients · 2 to 4Oct 9, 2024 to Apr 14, 2025
- HNW clients · 70 to 82Oct 9, 2024 to Apr 14, 2025
- Individual clients · 59 to 75Oct 9, 2024 to Apr 14, 2025
- Assets in custody · $178M to $194MOct 9, 2024 to Apr 14, 2025
- Financial planning clients · unset to Oct 9, 2024 to Apr 14, 2025
- Discretionary RAUM · $731M to $903MOct 9, 2024 to Apr 14, 2025
- HNW RAUM · $627M to $749MOct 9, 2024 to Apr 14, 2025
- Individual RAUM · $103M to $137MOct 9, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $2.0M to $2.7MOct 9, 2024 to Apr 14, 2025
- RAUM · $733M to $906MOct 9, 2024 to Apr 14, 2025
- Accounts · 330 to 355Jun 29, 2023 to Mar 28, 2024
- HNW clients · 67 to 70Jun 29, 2023 to Mar 28, 2024
- Individual clients · 54 to 59Jun 29, 2023 to Mar 28, 2024
- Assets in custody · $122M to $178MJun 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $513M to $731MJun 29, 2023 to Mar 28, 2024
- HNW RAUM · $449M to $627MJun 29, 2023 to Mar 28, 2024
- Individual RAUM · $64.1M to $103MJun 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.2M to $2.0MJun 29, 2023 to Mar 28, 2024
- RAUM · $515M to $733MJun 29, 2023 to Mar 28, 2024
- Related adviser · true to falseJun 29, 2023 to Mar 28, 2024
- Accounts · 305 to 330Apr 27, 2022 to Mar 30, 2023
- Advisory employees · 3 to 4Apr 27, 2022 to Mar 30, 2023
- Charity clients · unset to 2.0Apr 27, 2022 to Mar 30, 2023
- Individual clients · 44 to 54Apr 27, 2022 to Mar 30, 2023
- Assets in custody · $39.7M to $122MApr 27, 2022 to Mar 30, 2023
- Employees · 4 to 6Apr 27, 2022 to Mar 30, 2023
- HQ city · WEST PALM BEACH to PALM BEACHApr 27, 2022 to Mar 30, 2023
Signals
4 dated events
- D••• S••••• A•••• M••••••••• I•• reported RAUM $732.9M, up 42% from $514.6M (2023-06-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- D••• S••••• A•••• M••••••••• I•• reported RAUM $514.6M, down 26% from $693.5M (2022-04-27 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- J Spencer Ogden (Chief Compliance Officer) appeared on Schedule A of D••• S••••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- D••• S••••• A•••• M••••••••• I•• reported RAUM $585.1M, up 28% from $457.3M (2021-01-08 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- a•••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-532-9470reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/dock-street-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-532-9470reportedpublic record, Form ADV, Jul 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $370Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026