{ "crd_number": 330606, "slug": "dockside-platforms-new-york-ny-330606", "primary_business_name": "DOCKSIDE PLATFORMS", "legal_name": "DOCKSIDE LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-05-28", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-09-10", "carried_forward": false, "raum_total": 9626347488.0, "raum_discretionary": 9117558337.0, "raum_non_discretionary": 508789151.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 10, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 9626347488.0, "count": 11, "description": "FUND OF ONE VEHICLES" } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "NY" ], "websites": [ "https://docksideplatforms.com", "https://linkedin.com/company/dockside-platforms" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/330606", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/dockside-platforms-new-york-ny-330606", "display_name": "Dockside Platforms", "summary": "Dockside Platforms is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 10, 2026.", "citation": "AdvisorCensus. Dockside Platforms (CRD 330606): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Dockside Platforms compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Dockside Platforms reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Dockside Platforms located?", "a": "Dockside Platforms' principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Dockside Platforms registered with the SEC or a state?", "a": "Dockside Platforms is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 330606." }, { "q": "How much does Dockside Platforms manage?", "a": "Dockside Platforms reports $9,626,347,488 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (95% discretionary)." }, { "q": "How have Dockside Platforms' assets and staff changed since 2025?", "a": "In the Form ADV data for Dockside Platforms: Regulatory assets under management: $6,000,238,610 in the October 2025 data and $9,626,347,488 in the October 2026 data, up 60%. Total employees: 8 in October 2025 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Dockside Platforms serve?", "a": "By number of clients on Form ADV Item 5.D: other (11)." }, { "q": "Does Dockside Platforms report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/330606" }, { "q": "What changed in Dockside Platforms' recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 2 to 3. Regulatory assets under management went from $6,000,238,610 to $9,626,347,488 (+60%)." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": 6000238610.0, "total_employees": 8, "filing_date": "2025-06-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 9626347488.0, "total_employees": 10, "filing_date": "2026-09-10" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 2 to 3.", "Regulatory assets under management went from $6,000,238,610 to $9,626,347,488 (+60%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/dockside-platforms-new-york-ny-330606.md", "clients": [ { "type": "other", "label": "Other", "count": 11, "fewer_than_5": false, "raum": 9626347488.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/330606", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }