Ernesto D. Tong

PENSERRA CAPITAL MANAGEMENT LLC

Orinda, CA 94563

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CRD#: 5414392

Professional summary

Ernesto David Tong, who also goes by Ernesto Tong, is a registered financial advisor currently at PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California and PENSERRA SECURITIES, LLC located in Orinda, California.

Ernesto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ernesto has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernesto Tong

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.

PENSERRA CAPITAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto David Tong's 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 5, 2018 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 159042

Orinda, CA

Current

April 28, 2015 - Present

PENSERRA SECURITIES, LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

CRD#: 145994

Orinda, CA

Past

June 18, 2019 - April 19, 2022

PENSERRA GLOBAL INVESTORS LLC

RIA

CRD#: 174309

ORINDA, CA

Past

April 28, 2015 - December 31, 2017

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

ORINDA, CA

Past

August 5, 2013 - April 7, 2015

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

November 14, 2007 - August 5, 2013

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

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".

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/28/2015)

IAR

California
(1/5/2018)

New York
(4/28/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/24/2008

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: 11/13/2007

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 11,500,000,000

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

Ernesto D. Tong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto David Tong's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

PENSERRA GLOBAL INVESTORS LLC

PENSERRA CAPITAL MANAGEMENT LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK EXECUTION SERVICES

Primary Firm SEC Registration

PENSERRA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2007

FINRA

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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