Individually
Managed Portfolios
for Growth and Income

Dock Street Asset Management, founded in 1989, serves as an independent investment advisor to families and business owners.

Our services include both asset management and investment advisory for individuals, families, trusts, foundations and small businesses. Our primary asset is the depth and breadth of our Investment Advisor’s experiences specifically managing family assets.

We do not manage mutual funds nor do we operate any type of fund that pools client capital. Each client has their own separate account. All portfolios are individually managed with frequent consultation between clients and portfolio managers.

Ready to Start the Conversation?

We’ll call you, talk about your financial goals, and help you decide if we’re a good fit. Schedule a call online with the link below.

Beyond Wall Street

DOCK STREET

The Client comes first

Independent

Conflicts of interest do not exist — We do not create product, custody client assets or execute trades

Maintain connections with global research and strategy experts

Investment performance is above average for long periods of time

Client assets are managed in separate accounts so that unique circumstances are reflected in portfolio management

Client reports and fees are 100% transparent

Statements and performance are easily understood

The fundamentals of every investment can be clearly articulated

Risk is managed by knowing our investments — not by adopting an excessive number of strategies/positions

Client has a direct relationship with the Investment Principal

Our clients were unhappy Wall Street customers

DOCK STREET’s flexible structure allows clients to choose the custodian of their assets or participate in our low cost arrangement with Charles Schwab & Co.

WALL STREET

The Institution comes first

  • Traditional financial institutions have been experiencing increasing turmoil for over a decade and are currently in the credit crunch cobweb
  • Mergers, restructurings, professional turnover, have placed the client outside the circle of influence
  • Packaged products, pooling of client assets, over diversification have contributed to sub par investment performance
  • Institutions are centralizing investment decisions, removing customization
  • Portfolios managed to a model: compromises flexibility, transparency
  • The excessive number of strategies and underlying securities in a single client portfolio often increases risk exposure
  • Client assets are typically required to be held at the institution
  • Fees are complicated and not completely transparent

OUR INVESTMENT
APPROACH

DOCK STREET manages client assets across the full range of objectives from preservation to aggressive growth. For our most conservative clients, we primarily build portfolios comprised of income generating assets with a keen focus on preservation. Our more growth oriented clients have larger allocations to equities including individual stocks and strategic funds.

DOCK STREET focuses on finding equity investments that provide sustainable growth in economic value for its clients. The firm believes the following:

Only a small percentage of all public companies provide investors with the potential for growth in value. Most companies are actively destroying shareholder value—-even some that show earnings growth.

Conventional measures of growth or value often distort investment realities. Investment outcomes are not necessarily driven by:

  • Earnings per share growth
  • Dividends
  • Positive Cash Flow

To be successful, investors must cut through the fog created by accountants and the press to understand the true economic performance of the stocks they own.

These beliefs lead DOCK STREET to employ the following methods:

  • Study the few companies that deliver growth in economic value.
  • Design portfolios to weather all kinds of economic environments.
  • Simplify the true economic realities of each stock owned.
  • Reduce trading activity.
  • Focus on after-tax returns.

WHO WE ARE

PRINCIPAL

Daniel A. Ogden

PRESIDENT

An investor for over thirty five years, Dan has been involved in a number of entrepreneurial activities. His success from those efforts drew him to the financial markets and led to the 1989 creation of DOCK STREET.

Shortly after graduating as a history and economics major from Michigan State University, Dan co-founded a mail-order marketer of chimney cleaning equipment. This business as well as those that were formed in later years provided attractive returns and gave Dan the initial capital to accelerate his investment activities.

Over 35 years ago Dan began managing assets when he served as General Partner for several commercial real estate partnerships in New York City. The buildings were sold in 1985 demonstrating positive returns for the investors. Early in his career, Dan began studying Warren Buffett’s writings. He concluded that the practical experience of creating, operating and selling businesses could be applied to the investment profession. In 1986, Dan became active as an investment advisor for the Windmill Group, a securities brokerage firm. During those early years in the investment field, Dan began attending the Berkshire Hathaway annual shareholder’s meeting.

Dan believes that evaluating investments with an entrepreneurial eye is one of the most critical factors in achieving long term attractive returns from public market investing.

CLIENT SERVICE PROFESSIONALS

Evan McGoff

VICE PRESIDENT

Evan has over 10 years experience working at Dock Street, and holds the Series 65 license for Investment Advisor Representatives. He handles the firm’s research and trading operations, as well as its computing systems. Evan also regularly engages with clients, helping them make sense of the markets.

Evan graduated from New York University in 2005. After graduating, he worked for a leading computer forensics firm in their New York and Washington D.C. offices. Evan’s responsibilities included supporting forensic examiners, working on research & development projects and assisting in the firm’s investigations.

Marjan Verhelst

CLIENT ASSOCIATE

Marjan has been an associate of Dock Street since 2001. She has served in many capacities including research analyst, project manager and client service coordinator.

Prior to moving to Connecticut, Marjan spent over seven years with several Belgium offices of General Electric and Grace Dearborn. She was a sourcing specialist and supply chain project manager for both Honeywell Europe and GE Capital Modular Space.

Marjan’s degrees include MA in European Economics, Law and Politics-University of Surrey,UK and Bachelor of Science, Chemistry-Don Bosco,Antwerp, Belgium. She is fluent in Dutch, English, French and German.

OUR FEES

Portfolio Management Services

Оur fee for portfolio management services is based оn а percentage of your assets we manage and is set forth in the following fee schedule:

Assets Under ManagementAnnual fee
Accounts up to $500,0001.25%
Accounts between $500,000 to $5 million0.75%
Accounts above $5 million0.60%

Оuг annual portfolio management fee is billed and рауablе quarterly in advance based оn the value of your account оn the last day of the previous quarter.

Dock Street is a registered investment advisor. That means we do not charge commissions nor do we participate in the commissions our clients pay. It means we file a Form ADV with the Securities & Exchange Commission each year, a copy of which is available here. We also file a Form CRS, a copy of which is available here. Our fees are based on a percentage of client assets under management – generally 1% or less on an annual basis.

CALL US
203.532.9470

FAX
203.517.0749

© Dock Street asset management, Inc. All Rights Reserved.