Unclaimed Profile

Tom Min Ngo

BAKER AVENUE ASSET MANAGEMENT, LP·SAN FRANCISCO, California

Series 7, Series 65, Series 66Clean record23 years registeredBAKER AVENUE ASSET MANAGEMENT, LP

ONE EMBARCADERO CENTER, SAN FRANCISCO, CA 94111CRD# 4494020Firm CRD# 132657

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Tom Min Ngo · SAN FRANCISCO, CA

Registration

CRD #4494020 · BAKER AVENUE ASSET MANAGEMENT, LP · 23 years registered

Brand Profile

Not yet started

Career History

BAKERAVENUE

Jul 2019 – present

VERIDI CAPITAL

Jul 2019 – Dec 2021

SAN FRANCISCO, CA

ICONIQ CAPITAL, LLC

May 2015 – Jul 2018

SAN FRANCISCO, CA

AURA ASSET MANAGEMENT, INC.

Jul 2006 – Oct 2006

BIRMINGHAM, AL

WELLS FARGO INVESTMENTS, LLC

Dec 2002 – Jun 2004

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 65

Series 66

Registration record

First registered · December 10, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BAKER AVENUE ASSET MANAGEMENT, LP

CRD 132657 · SEC 801-63576

AUM

$2.6B

Regulatory assets under management

Employees

2,688 client accounts

Services offered by BAKER AVENUE ASSET MANAGEMENT, LP

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at BAKER AVENUE ASSET MANAGEMENT, LP →

Introduction

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Frequently Asked Questions

What services does Tom Min Ngo offer?

Tom Min Ngo specializes in Financial Planning, Investment Management. Contact their office in SAN FRANCISCO, California for a consultation.

What are Tom Min Ngo's credentials?

Tom Min Ngo is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tom Min Ngo located?

Tom Min Ngo is based in SAN FRANCISCO, California, working with BAKER AVENUE ASSET MANAGEMENT, LP. Their office serves clients in the SAN FRANCISCO metropolitan area and surrounding communities.

How does Tom Min Ngo charge for services?

Tom Min Ngo's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BAKER AVENUE ASSET MANAGEMENT, LP?

BAKER AVENUE ASSET MANAGEMENT, LP has approximately 47 employees and manages $2.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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