# Dockside Platforms

> 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.

- CRD: 330606
- Filed as: DOCKSIDE PLATFORMS
- Legal name: Dockside LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/330606
- AdvisorCensus page: https://advisorcensus.com/firm/dockside-platforms-new-york-ny-330606

## Quick answers

**How is Dockside Platforms compensated?**
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.

**Where is Dockside Platforms located?**
Dockside Platforms' principal office is in New York, NY, according to its Form ADV.

**Is Dockside Platforms registered with the SEC or a state?**
Dockside Platforms is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 330606.

**How much does Dockside Platforms manage?**
Dockside Platforms reports $9,626,347,488 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (95% discretionary).

**How have Dockside Platforms' assets and staff changed since 2025?**
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.

**What types of clients does Dockside Platforms serve?**
By number of clients on Form ADV Item 5.D: other (11).

**Does Dockside Platforms report any disciplinary disclosures?**
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

**What changed in Dockside Platforms' recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $9,626,347,488
- Discretionary: $9,117,558,337
- Non-discretionary: $508,789,151

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Other | 11 | $9,626,347,488 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 10 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/330606

### Websites listed on Form ADV (Item 1.I)
- [docksideplatforms.com](https://docksideplatforms.com)
- LinkedIn @dockside-platforms

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $6,000,238,610 | 8 | June 27, 2025 |
| October 2026 | $9,626,347,488 | 10 | September 10, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dockside Platforms (CRD 330606): Form ADV filing data as of October 2026.