Description of Services and Fees Dock Street Asset Management Inc. is a Registered Investment Adviser (RIA) based in Palm Beach, Florida. We are organized as a corporation under the laws of the State of Connecticut. We have been providing investment advisory services since 1989. Daniel A. Ogden is the sole owner. Currently, we offer portfolio management services which are personalized to each individual client.
The following paragraphs describe our services and fees. Please refer to the description of each investment advisory service listed below for information on how we tailor our advisory services to your individual needs. As used in this brochure, the words "we", "our" and "us" refer to Dock Street Asset Management Inc. and the words "you", "your" and "client" refer to you as either a client or prospective client of our firm.
Portfolio Management Services We offer discretionary portfolio management services. Our investment advice is tailored to meet our clients' needs and investment objectives. If you retain our firm for portfolio management services, we will meet with you to determine your investment objectives, risk tolerance, and other relevant information at the beginning of our advisory relationship. We will use the information we gather to develop a strategy that enables our firm to give you continuous and focused investment advice and/or to make investments on your behalf. As part of our portfolio management services, we customize an investment portfolio for you according to your risk tolerance and investing objectives. Your portfolio will be based on several predefined model portfolios used for all clients. Once we construct an investment portfolio for you, we will monitor your portfolio's performance on an ongoing basis, and will rebalance the portfolio as required by changes in market conditions and in your financial circumstances.
We require you to grant our firm discretionary authority to manage your account. Discretionary authorization will allow us to determine the specific securities, and the amount of securities, to be purchased or sold for your account without your approval prior to each transaction. Discretionary authority is granted by the investment advisory agreement you sign with our firm and the appropriate trading authorization forms. You may limit our discretionary authority (for example, limiting the types of securities that can be purchased for your account) by providing our firm with your restrictions and guidelines in writing.
Non-discretionary investment advisory service is provided to one current client and is not offered

to new clients. Actions taken, such as which investments to buy or sell, based on our advice through non- discretionary investment advisory services are ultimately decided by the client. This clients has an unrestricted right to decline to implement any advice provided by our firm under this service. Types of Investments We offer advice on equity securities, government, corporate and municipal fixed income securities, mutual funds, exchange traded funds (ETFs) and options.
Additionally, we may advise you on any type of investment that we deem appropriate based on your stated goals and objectives. We may also provide advice on any type of investment held in your portfolio at the inception of our advisory relationship.
You may request that we refrain from investing in particular securities or certain types of securities. You must provide these restrictions to our firm in writing. 4 401(k) Rollover and IRA Transfer Recommendations When we provide investment advice to you regarding your retirement plan account (401(k)) or individual retirement account (IRA), we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act (ERISA) and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule's provisions, we must:
•Give Prudent Advice - Meet a professional standard of care when making investment recommendations
•Give Loyal Advce - Never put our financial interests ahead of yours when making recommendations
•Avoid misleading statements about conflicts of interest, fees, and investments
•Follow policies and procedures designed to ensure that we give advice that is in your best interest
•Charge no more than is reasonable for our services
•Give you basic information about conflicts of interest We benefit financially from the rollover of your assets from an ERISA account to an account that we manage because the assets increase our assets under management and our advisory fees. In contrast, we receive no compensation if assets remain in the current plan or are rolled over to another Company plan in which you may participate.
Assets Under Management As of December 31, 2023, we provide continuous management services for $730,969,727 in client assets on a discretionary basis, and $1,957,119 in client assets on a non-discretionary basis.