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Keith C Bong

SIDOXIA CAPITAL MANAGEMENT
CRD# 3074241·28 years experience

Professional Summary

Keith C Bong is a registered financial advisor currently at SIDOXIA CAPITAL MANAGEMENT, LLC. Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Keith has worked at 3 firms and has passed the Series 66 and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

SIDOXIA CAPITAL MANAGEMENT, LLC·CRD# 145969
RIA
February 26, 2014 - Present
TOPPER CAPITAL MANAGEMENT, INC.·CRD# 134158
RIA
Irvine, CA
April 30, 2002 - January 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
July 9, 1998 - July 20, 2000

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Current Firm

SC
SIDOXIA CAPITAL MANAGEMENT, LLC

PARAGON FINANCIAL MANAGEMENT | SIDOXIA CAPITAL MANAGEMENT, LLC

CRD#: 145969 / SEC#: 801-133930
RIA
Registered Investment Advisory firm - SEC (7/23/2025 Approved)
California
Registered Investment Advisory firm - California (9/17/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2901 W. Coast Highway Suite 200, Newport Beach, CA 92663

Phone Number

(949) 258-4322

# of Employees

2

SEC notice filing (2 States and Territories)

Registered to provide investment advisory services in 2 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SIDOXIA FORM ADV PART 2A (3/26/2026)

Regulatory Assets Under Management

Total Number of Accounts

269

AUM (Assets Under Management)

$149,045,501

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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.

KEITH BONG, AS A CPA, MAY PROVIDE ACCOUNTING AND TAX SERVICES TO SOME CUSTOMERS, THROUGH TOPPER AND CO. OR AS A SOLE PROPRIETOR. THE NUMBER OF HOURS FOR THIS SERVICE DURING SECURITIES TRADING HOURS MAY BE SIGNIFICANT, BUT IS SEASONAL OR TEMPORARY, AND CAN BE UP TO 80 HOURS PER MONTH. HE ALSO IS INVOLVED AS A MANAGING MEMBER IN A PRIVATE INVESTMENT COMPANY, PORTOLA CAPITAL GROUP LLC, STARTED IN JANUARY, 2012. TIME COMMITMENT TO THIS VENTURE IS IMMATERIAL AT THIS TIME, WITH PRIMARY DUTIES BEING ADMINISTRATIVE TASKS AND POLICY MAKING. BOTH OF THESE BUSINESS ACTIVITIES ARE LOCATED AT 780 ROOSEVELT, IRVINE, CA 92620. ALSO, HE MAY TEACH COLLEGE LEVEL COURSES IN FINANCE THAT MAY BE UP TO 40 HOURS PER MONTH.

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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".
SC
SIDOXIA CAPITAL MANAGEMENT, LLC

PARAGON FINANCIAL MANAGEMENT | SIDOXIA CAPITAL MANAGEMENT, LLC

CRD#: 145969 / SEC#: 801-133930
RIA
Registered Investment Advisory firm - SEC (7/23/2025 Approved)
California
Registered Investment Advisory firm - California (9/17/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
IAR
California
(2/26/2014)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 1998About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Jul 1998About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Keith C Bong's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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