Asset Management

Individually Managed Portfolios for Growth and Income

Beyond Wall Street

DOCK STREET: The Client comes first

•  Independent

•  Conflicts of interest do not exist --- We do not create product, custody client assets or execute trades

•  Maintain connections with global research and strategy experts

•  Investment performance is above average for long periods of time

•  Client assets are managed in separate accounts so that unique circumstances are reflected in portfolio management
•  Client reports and fees are 100% transparent

•  Statements and performance are easily understood

•  The fundamentals of every investment can be clearly articulated

•  Risk is managed by knowing our investments -- not by adopting an excessive number of strategies/positions

•  Client has a direct relationship with the Investment Principal

•  Our clients were unhappy Wall Street customers

•  DOCK STREET’s flexible structure allows clients to choose the custodian of their assets or participate in our low cost arrangement with Charles Schwab & Co.

Wall Street: The Institution comes first

•  Traditional financial institutions have been experiencing increasing turmoil for over a decade and are currently in the credit crunch cobweb

•  Mergers, restructurings, professional turnover, have placed the client outside the circle of influence

•  Packaged products, pooling of client assets, over diversification have contributed to sub par investment performance

•  Institutions are centralizing investment decisions, removing customization

•  Portfolios managed to a model: compromises flexibility, transparency

•  The excessive number of strategies and underlying securities in a single client portfolio often increases risk exposure

•  Client assets are typically required to be held at the institution

•  Fees are complicated and not completely transparent