Dong-hwan Hong

BAKERAVENUE

SAN FRANCISCO, CA 94111

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CRD#: 6542375

Professional summary

Dong-hwan Hong, who also goes by James Hong, is a registered financial advisor currently at BAKERAVENUE located in San Francisco, California.

Dong-hwan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Dong-hwan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Hong

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 Dong-hwan Hong'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

April 22, 2022 - Present

BAKERAVENUE

Office #1: One Embarcadero Center Ste 2530, San Francisco, CA 94111

RIA

CRD#: 132657

SAN FRANCISCO, CA

Past

September 21, 2021 - April 11, 2022

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

San Francisco, CA

Past

October 23, 2015 - September 19, 2016

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

September 22, 2015 - September 19, 2016

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

IRVINE, 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".

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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
(4/22/2022)

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: 10/19/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/2015

General Securities Representative Examination

Current Firm

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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Contact information

Main Address

One Embarcadero Center Ste 2530, San Francisco, CA 94111

Mailing Address

Phone number

(415) 986-1110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	3,138
AUM (Assets Under Management)	$ 3,771,014,366

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/05/2025	Cover Page	Report
08/28/2024	Cover Page	Report
04/02/2024	Cover Page	Report
03/14/2023	Cover Page	Report

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

Dong-hwan Hong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dong-hwan Hong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CRESSET ASSET MANAGEMENT, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

BAKERAVENUE

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2015

SIE

Date: 9/19/2016

Series 7

Date: 9/22/2015

Current Firm

BAKERAVENUE

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKERAVENUE

TRUST BUT VERIFY

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