Ngai L. Poon

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CRD#: 5300805

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ngai Leung Poon, who also goes by Orion Poon, was a registered financial professional .

Ngai is a previously registered financial professional and started their career in finance in 2007. Ngai had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Orion Poon

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 28, 2007 - August 22, 2016

MATHEMATICA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 120651

SAUSALITO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

MATHEMATICA CAPITAL MANAGEMENT, LLC

CRD#: 120651 / SEC#: 801-64292

RIA

Registered Investment Advisory firm - (4/30/2010 Terminated)

California

Registered Investment Advisory firm - (4/6/2010 Approved)

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).

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Contact information

Main Address

75 Gate 5 Road, Sausalito, CA 94965

Mailing Address

Phone number

(415) 332-4054

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 10,249,086

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.