Dockside LLC

0 registered advisors · 3 reported ETFs · $6.3M reported ETF value · $9.6B regulatory AUM

Dockside LLC is an investment adviser that files Form ADV with the SEC in New York, NY, with 0 registered advisors, reporting $9.6B in regulatory assets under management. Its 13F filings report 3 ETF positions worth $6.3M.

Last updated 2026-09-10 (latest Form ADV filing)

Scale

How this firm compares

Ratios computed from the firm's own Form ADV filing. Each caption ranks the firm against every other firm that reported the same figures.

  • Regulatory AUM$9.6BHighTop 8.4%
  • Average AUM per client$875.1MVery highTop 4.0%
  • High-net-worth share of clients0.0%LowTop 100.0%

What the firm filed with the SEC

Form ADV facts as filed, most recently 2026-09-10. Figures are the firm's own reported numbers.

Identity

Registration

Item 1 and registration status.

Registration type
Registered
SEC registration status
APPROVED
Registered since
2025-05-28
SEC file number
801-131643
Form version
10/2021
Latest Form ADV filing
2026-09-10
Address
120 Fifth Avenue, 11th Floor, New York, NY 10011, United States
Phone
917-563-4874
Website
https://docksideplatforms.com/

Size

People and clients

Items 5.A through 5.D.

Employees
10
Registered advisors
0
Offices
0
Clients
11
High-net-worth share of clients
0.0%

Assets

Assets under management

Item 5.F and custody.

Regulatory AUM
$9,626,347,488
Discretionary AUM
$9,117,558,337
Non-discretionary AUM
$508,789,151
Total accounts
11
Average AUM per client
$875,122,499

Clients

Who the firm serves

Item 5.D, by reported assets.

  • Other11 clients
    $9.6B

Practice

How the firm operates

Items 4 through 9.

Services
Portfolio Management: Pooled Investment Vehicles; Selection of Other Advisers
Fee types
Compensation: Percentage of Assets Under Management
Affiliations
Related Person Is: Broker-Dealer or Municipal Securities Dea; Related Person Is: Other Investment Adviser (Incl. Financial; Related Person Is: Commodity Pool Operator or CTA; Related Person Is: Sponsor or GP of Pooled Investment Vehicl; Adviser to Any Private Fund
Custody
Adviser Has Custody of Client Cash; Adviser Has Custody of Client Securities; Adviser Custody Amount ($); Adviser Custody Clients (Count); Related Person Has Custody of Client Cash; Related Person Has Custody of Client Securities; Related Person Custody Amount ($); Related Person Custody Clients (Count)

Source: SEC Form ADV filed by CRD 330606. View the official SEC IAPD record

Reported ETF investments

Reported 13F ETF positions, largest first
FundReported valueShare of reported ETF valueFund research
IWM — iShares Russell 2000 Index Fund$3.8M61.0%Research alternatives to IWM · IWM institutional holders
RSP — Invesco S&P 500 Equal Weight ETF$1.3M20.4%Research alternatives to RSP · RSP institutional holders
EMXC — iShares MSCI Emerging Markets ex China ETF$1.2M18.6%Research alternatives to EMXC · EMXC institutional holders

Registered advisors

    Public filing evidence

    Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.

    Report period: 2026-06-30