Dock Street provides Investment Planning to families and individuals. Our clients are are looking for a long term investment plan and partnership with an experienced advisor. We work closely with you to understand your financial goals and determine what level of risk is appropriate. In doing so, we reduce the uncertainty and anxiety our clients face as they search for answers to questions like these:
Working together with our clients we develop an Investment Plan that maps out their financial future. Our plans can never eliminate the uncertainty clients feel in the short-term, but by focusing attention on the long-term outcomes available to investors, a certain level of calm can be achieved. We’ve seen it happen—and getting to this place with clients is what makes our work satisfying and rewarding.
Spencer Ogden
Vice President
A lifelong student of economics and computer science, Spencer is a Chartered Financial Analyst charterholder (CFA) and Chartered Alternative Investment Analyst (CAIA). He has worked in the investment industry for more than 15 years, first at Citigroup and Legg Mason, followed by 13 years at K2 Advisors, a subsidiary of Franklin Templeton which focuses on Hedge Fund investing. There, he developed tools to analyze portfolios of hedge funds and quantitative strategies to provide returns similar to hedge funds with better liquidity. This culminated in his role as portfolio manager for quantitative strategies with more than $700 million under management.
Spencer has long had an interest in microeconomics, both how it influences business, as well personal decisions made by individuals and families. His extensive experience in asset allocation and portfolio construction, has provided the foundation for his current work on retirement income, tax, and inheritance planning. Spencer engages with clients to develop plans to grow assets effectively during early years, and spend them responsibly in later years.
Spencer has a degree in Computer Science from the University of Texas at Austin. He has sailed competitively for more than 30 years as navigator in numerous regattas and offshore races, and has sailed more than 15,000 nautical miles offshore including an Atlantic crossing.
General Information |
| Firm Start Year: | 1989 | |
| No. of Employees: | 5-9 | |
| Number of Years with Current Firm: | 3 |
| Work with the following types of clients: | Individual Investors |
| Advisory Services Provided: | Portfolio Management, Financial Planning, Estate Planning & Trusts, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Retirement Planning, 401K Rollovers, Wealth Management, Investment Advice & Management |
Services |
| Investment Types: | Mutual Funds, Exchange Traded Funds (ETFs), Bonds, Stocks |
| Can meet clients in the following ways: | Your Home, Phone, Your Office, Email, Video Conference, Our Offices |
Firm Information |
| Assets Managed by Firm: | $700,000,000 |
Compensation and Fees |
| Fee Structure: | Fee-Only |
| Minimum Portfolio Size for New Managed Accounts: | 500,000 |
| Minimum Fee Charged for Managed Accounts: | $3,000 |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. |
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Additional Detailed Disclosures |
Disclaimer |
Dock Street is a registered investment advisor. That means we do not charge commissions nor do we participate in the commissions our clients pay. It means we file a Form ADV with the Securities & Exchange Commission each year, a copy of which is available here. We also file a Form CRS, a copy of which is available here. Our fees are based on a percentage of client assets under management generally 1% or less on an annual basis. |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
I have a clean record
Criminal Disclosures in Last 5 years:
I have a clean record
| Mon. | 9:00 AM - 5:00 PM |
| Tue. | 9:00 AM - 5:00 PM |
| Wed. | 9:00 AM - 5:00 PM |
| Thu. | 9:00 AM - 5:00 PM |
| Fri. | 9:00 AM - 5:00 PM |
| Rhode Island, Massachusetts, Washington, Connecticut |
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