Tom Ngo has been President & CEO / Partner of Baker Avenue Asset Management since July 2019, is a control person of the firm and directly owns between 5% and 10% of it. Tom Ngo holds a BA from the University of California, Los Angeles and an MBA from Haas School of Business, University of California, Berkeley.
Baker Avenue Asset Management, LP is a San Francisco, CA firm with $5.09B under management, 1,024 clients and 29 advisers across 14 offices, as of its September 2026 filing.
Tom Ngo is Chief Executive Officer & Partner of BakerAvenue. He chairs the Executive Committee, serves on the Investment Committee and leads the firm's strategic roadmap. Before joining BakerAvenue, he was Chief Operating Officer at ICONiQ Capital and Chief Technology Officer and Head of Operations at Wetherby Asset Management, and held leadership positions within Wells Fargo's Wealth Management Group and Consumer Credit Group. Earlier, he co-founded MiFund and managed software development teams at SS&C/Advent.
Tom Ngo’s longest registration is the current one, 7 years at Baker Avenue Asset Management since 2019. Before joining Baker Avenue Asset Management in 2019, Tom Ngo was registered through ICONIQ Capital, LLC and Aura Asset Management, Inc.
- Veridi Capital– · 2 yearsSan Francisco, CA · Adviser representative · Firm CRD 304374
- ICONIQ Capital, LLC– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 159198
- Aura Asset Management, Inc.– · under a yearBirmingham, AL · Adviser representative · Firm CRD 129402
- Wells Fargo Investments, LLC– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 10582
Professional designations
Listed by Baker Avenue Asset Management
- Certified Financial Planner (CFP®)
Investment adviser representative registrations
Tom Ngo is registered as an investment adviser representative in 2 states. The first approvals date from July 2019; the most recent is Washington, in January 2021.
- CaliforniaSince 11 July 2019
- WashingtonSince 27 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 May 2015 |
| Series 66 | Uniform Combined State Law Examination | 7 December 2002 |
| Series 7 | General Securities Representative Examination | 6 May 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tom Min Ngo
- CRD
- 4494020
- Firm
- Baker Avenue Asset Management · CRD 132657
- Role
- President & CEO / Partner
- Office
- 12636 High Bluff Dr Ste 400-11722, Del Mar, CA 92130
- Registration
- Investment adviser registration
- In the industry since
- June 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bakerave.com
Where does Tom Ngo work?
Tom Ngo has been President & CEO / Partner of Baker Avenue Asset Management, LP since July 2019, and is a control person of the firm.
Is Tom Ngo a financial advisor?
Yes. Tom Ngo has a current investment-adviser registration in California and Washington, through Baker Avenue Asset Management since July 2019.
How many years of experience does Tom Ngo have?
Tom Ngo has 12 years in the financial industry, since June 2014, across 5 adviser firms.
What exams has Tom Ngo passed?
Tom Ngo has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in May 2002.
Where did Tom Ngo work before Baker Avenue Asset Management?
Before Baker Avenue Asset Management, Tom Ngo was registered through ICONIQ Capital, LLC, May 2015 to July 2018; Aura Asset Management, Inc., July 2006 to October 2006; Wells Fargo Investments, LLC, December 2002 to June 2004.
Where is Tom Ngo based?
Tom Ngo’s registered office is in Del Mar, CA.
Is Tom Ngo registered with FINRA?
No. Tom Ngo has no current broker registration.
Is Tom Ngo a CFP?
Baker Avenue Asset Management lists Tom Ngo with the CFP credential (“Certified Financial Planner (CFP®)”) on its website. CFP Board confirms certification status.
Source: Tom Ngo biography, bakerave.com
How can I verify Tom Ngo’s record?
Search CRD 4494020 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tom Ngo’s full registration record.
Gerald LuffChief Operating Officer / Partner- Gerald LuffChief Operating Officer
Michael MoranChief Compliance Officer
Simon BakerExecutive Chairman / Partner
Doug CoudenChief Investment Officer / Partner
King LipChief Strategist / Partner
Gerry OconnellPartner- Sharon SimpsonPartner
Scott StephensManaging Director / Partner
Tanya WelchPartner