Neale R. Ellis

FIDELIS CAPITAL

Dallas, TX 75201

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CRD#: 4262942

Professional summary

Neale Ruud Ellis is a registered financial advisor currently at FIDELIS CAPITAL located in Dallas, Texas.

Neale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Neale has worked at 3 firms and has passed the Series 66, Series 87, Series 86, Series 55, Series 7, Series 3 and Series 24 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 Neale Ruud Ellis'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

October 17, 2022 - Present

FIDELIS CAPITAL

Office #1: 910 S Pearl Expy, Dallas, TX 75201

RIA

CRD#: 322287

Dallas, TX

Past

September 29, 2004 - April 25, 2008

MCKINNON & COMPANY, INC.

CRD#: 21907

NORFOLK, VA

Past

October 19, 2000 - December 9, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

FIDELIS CAPITAL

FIDELIS | FIDELIS CAPITAL PARTNERS, LLC | FIDELIS CAPITAL

CRD#: 322287 / SEC#: 801-126176

RIA

Registered Investment Advisory firm - (7/25/2022 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

Texas
(10/17/2022)

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: 12/1/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 87

Date: 1/6/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 12/21/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 55

Date: 11/23/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/26/2000

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/2006

General Securities Principal Examination

Current Firm

FIDELIS CAPITAL

FIDELIS | FIDELIS CAPITAL PARTNERS, LLC | FIDELIS CAPITAL

CRD#: 322287 / SEC#: 801-126176

RIA

Registered Investment Advisory firm - (7/25/2022 Approved)

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Contact information

Main Address

4221 W Boy Scout Blvd Suite 730, Tampa, FL 33607

Mailing Address

Phone number

(813) 934-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELIS CAPITAL PARTNERS FIRM BROCHURE 3-19-25 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	934
AUM (Assets Under Management)	$ 1,660,321,213

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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Neale R. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neale Ruud Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCKINNON & COMPANY, INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

FIDELIS CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2000

Series 87

Date: 1/6/2005

Series 86

Date: 12/21/2004

Series 55

Date: 11/23/2004

Series 7

Date: 10/18/2000

Series 3

Date: 9/26/2000

Series 24

Date: 7/11/2006

Current Firm

FIDELIS CAPITAL

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIDELIS CAPITAL

TRUST BUT VERIFY

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