DH
Dennis Hong
SHAWSPRING PARTNERS
Boston, MA 02116
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CRD#: 6034161
DH
Professional summary
Dennis Hong is a registered financial advisor currently at SHAWSPRING PARTNERS, LLC located in Boston, Massachusetts.
Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Dennis has worked at 2 firms and has passed the Series 65 exam.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Hong'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®
NoneExperience
Current
September 9, 2015 - Present
SHAWSPRING PARTNERS, LLC
Office #1: 171 Newbury Street Suite 5, Boston, MA 02116RIA
CRD#: 172766
Boston, MA
Past
June 26, 2012 - August 1, 2014
SHAWSPRING PARTNERS LLC
RIA
CRD#: 162192
BOSTON, MA
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".
SP
SHAWSPRING PARTNERS, LLC
SHAWSPRING PARTNERS, LLC
CRD#: 172766 / SEC#: 801-117000
RIA
Registered Investment Advisory firm - (7/19/2019 Approved)Massachusetts
Registered Investment Advisory firm - (8/19/2019 Terminated)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
Massachusetts(9/9/2015)
Current Firm
SP
SHAWSPRING PARTNERS, LLC
SHAWSPRING PARTNERS, LLC
CRD#: 172766 / SEC#: 801-117000
RIA
Registered Investment Advisory firm - (7/19/2019 Approved)Massachusetts
Registered Investment Advisory firm - (8/19/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
171 Newbury Street Suite 5, Boston, MA 02116
Mailing Address
Phone number
(857) 310-5010
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 939,754,193 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Massachusetts | ERA - Withdrawn | 6/30/2015 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SHAWSPRING PARTNERS, LLC
CRD#: 172766Boston, MA 02116TRUST BUT VERIFY
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