Brooks P. Nelson

NELSON CAPITAL MANAGEMENT

Menlo Park, CA 94025

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CRD#: 1258532

Professional summary

Brooks Phillips Nelson is a registered financial advisor currently at NELSON CAPITAL MANAGEMENT, LLC located in Menlo Park, California.

Brooks is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Brooks has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Phillips Nelson'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

May 15, 2015 - Present

NELSON CAPITAL MANAGEMENT, LLC

Office #1: 545 Middlefield Road Suite 200, Menlo Park, CA 94025

RIA

CRD#: 129776

Menlo Park, CA

Past

February 3, 2003 - January 28, 2005

NELSON CAPITAL MANAGEMENT

RIA

CRD#: 123513

PALO ALTO, CA

Past

April 18, 1984 - August 8, 1985

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

NELSON CAPITAL MANAGEMENT, LLC

BROOKS NELSON & CO | NELSON ROBERTS INVESTMENT ADVISORS, LLC | NELSON CAPITAL MANAGEMENT, LLC | NELSON CAPITAL | BROOKS NELSON INVESTMENT ADVISORS, LLC

CRD#: 129776 / SEC#: 801-62601

RIA

Registered Investment Advisory firm - (1/2/2004 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
(5/15/2015)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/30/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Current Firm

NELSON CAPITAL MANAGEMENT, LLC

BROOKS NELSON & CO | NELSON ROBERTS INVESTMENT ADVISORS, LLC | NELSON CAPITAL MANAGEMENT, LLC | NELSON CAPITAL | BROOKS NELSON INVESTMENT ADVISORS, LLC

CRD#: 129776 / SEC#: 801-62601

RIA

Registered Investment Advisory firm - (1/2/2004 Approved)

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Contact information

Main Address

545 Middlefield Road Suite 200, Menlo Park, CA 94025

Mailing Address

Phone number

(650) 322-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	672
AUM (Assets Under Management)	$ 711,678,397

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/23/2025	Cover Page	Report
07/23/2024	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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Brooks P. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Phillips Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NELSON CAPITAL MANAGEMENT

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

NELSON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/1996

Series 63

Date: 6/1/1984

Series 3

Date: 8/30/1984

Series 7

Date: 4/14/1984

Current Firm

NELSON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NELSON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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