Keith C. Bong

SIDOXIA CAPITAL MANAGEMENT

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CRD#: 3074241

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.

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 Keith C Bong'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

February 26, 2014 - Present

SIDOXIA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 145969

Past

April 30, 2002 - January 28, 2014

TOPPER CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134158

IRVINE, CA

Past

July 9, 1998 - July 20, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

SIDOXIA CAPITAL MANAGEMENT, LLC

PARAGON FINANCIAL MANAGEMENT | SIDOXIA CAPITAL MANAGEMENT, LLC

CRD#: 145969 / SEC#: 801-133930

RIA

Registered Investment Advisory firm - (7/23/2025 Approved)

California

Registered Investment Advisory firm - (8/18/2025 Termination Requested)

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

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

State Security Law Exam

IAR

Series 66

Date: 7/29/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/8/1998

General Securities Representative Examination

Current Firm

SIDOXIA CAPITAL MANAGEMENT, LLC

PARAGON FINANCIAL MANAGEMENT | SIDOXIA CAPITAL MANAGEMENT, LLC

CRD#: 145969 / SEC#: 801-133930

RIA

Registered Investment Advisory firm - (7/23/2025 Approved)

California

Registered Investment Advisory firm - (8/18/2025 Termination Requested)

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Contact information

Main Address

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

Mailing Address

Phone number

(949) 258-4322

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIDOXIA FORM ADV PART 2A (8/18/2025)

Regulatory assets under management

Total Number of Accounts	221
AUM (Assets Under Management)	$ 126,676,610

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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Keith C. Bong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SIDOXIA CAPITAL MANAGEMENT, LLC

TOPPER CAPITAL MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SIDOXIA CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/1998

Series 7

Date: 7/8/1998

Current Firm

SIDOXIA CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIDOXIA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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