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Private fund adviser · New York, NY

Dockside Platforms

Dockside LLC · SEC-registered investment adviser · CRD 330606 · SEC 801-131643

At a glance

Dockside Platforms is an SEC-registered investment adviser based in New York, New York, with $9.6 billion in regulatory assets under management as of its Form ADV filed September 10, 2026. Its largest client group by assets is other. By Form ADV it is a private fund adviser, ranked 631st of 4,686 private fund advisers and 1,405th of 17,210 SEC-registered advisers by assets.

Main office 917-563-4874docksideplatforms.comLinkedInAs filed on Form ADV

Regulatory AUM
$9.6B
Rank among private fund advisers
#631 of 4,686
Rank among all SEC RIAs
#1,405 of 17,210
Rank in New York
#363 of 2,591
Clients
11
Accounts
11
Discretionary
95% of AUM
Employees
10
Advisory staff
3
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Dockside Platforms’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Affiliated broker-dealer

It names an affiliated broker-dealer: Walleye Trading LLC.

Other RIAs with an affiliated broker-dealer

Who it serves

Client typeClientsRegulatory AUMShare
Other11$9.6B100%

Private funds

Dockside Platforms reports 10 private funds with $9.1B in gross assets: hedge funds (Form ADV Item 7.B).

Disciplinary disclosures

Dockside Platforms answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for pooled investment vehicles
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗docksideplatforms.com ↗

AtlasMembers

The full record on Dockside Platforms

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 1 years of filings
Locked
Growth over one, three and five years
Locked
Rank against 1,007 peers of its type and size
Locked
Owners and executives, with titles and stakes
2 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Dockside Platforms manage?

Dockside Platforms reports $9.6 billion in regulatory assets under management across 11 accounts, 95% of it on a discretionary basis, on its Form ADV filed September 10, 2026.

What kind of firm is Dockside Platforms?

Dockside Platforms is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.

Who are Dockside Platforms’s clients?

By assets, its largest client types are other ($9.6 billion, 11 clients).

Does Dockside Platforms manage private funds?

Yes. It reports 10 private funds with $9.1 billion in gross assets, including hedge funds.

Does Dockside Platforms have any disciplinary history?

Dockside Platforms answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Dockside Platforms’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →