Richard S. Rankin

DOCK STREET ASSET MANAGEMENT

Newport, RI 02840

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CRD#: 2110632

Professional summary

Richard Scott Rankin is a registered financial advisor currently at DOCK STREET ASSET MANAGEMENT INC located in Newport, Rhode Island.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Rankin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 22, 2024 - Present

DOCK STREET ASSET MANAGEMENT INC

Office #1: 30 Hammersmith Road, Newport, RI 02840

RIA

CRD#: 111163

Newport, RI

Past

March 28, 2017 - July 9, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

June 21, 2011 - March 30, 2012

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

April 7, 1998 - March 8, 2005

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 10, 1991 - March 18, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

January 7, 1991 - June 21, 1991

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DOCK STREET ASSET MANAGEMENT INC

CRD#: 111163 / SEC#: 801-43547

RIA

Registered Investment Advisory firm - (3/19/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(1/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/22/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/1991

General Securities Representative Examination

Current Firm

DOCK STREET ASSET MANAGEMENT INC

CRD#: 111163 / SEC#: 801-43547

RIA

Registered Investment Advisory firm - (3/19/1993 Approved)

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Contact information

Main Address

2875 South Ocean Blvd Suite 200-46, Palm Beach, FL 33480

Mailing Address

Phone number

(203) 532-9470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOCK STREET ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	398
AUM (Assets Under Management)	$ 905,798,171

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/03/2025	Cover Page	Report
12/05/2023	Cover Page	Report
10/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard S. Rankin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Rankin's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

CRT CAPITAL GROUP LLC

MORGAN STANLEY & CO. LLC

UBS SECURITIES LLC

FIRST MANHATTAN SECURITIES LLC

Primary Firm SEC Registration

DOCK STREET ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2024

Series 63

Date: 4/5/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/3/1991

Current Firm

DOCK STREET ASSET MANAGEMENT INC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DOCK STREET ASSET MANAGEMENT INC

TRUST BUT VERIFY

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