Pooja Malik

NIPUN CAPITAL, L.P.

Foster City, CA 94404

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CRD#: 4558007

Professional summary

Pooja Malik is a registered financial advisor currently at NIPUN CAPITAL, L.P. located in Foster City, California.

Pooja is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Pooja has worked at 2 firms and has passed the Series 63, Series 3, Series 7 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 Pooja Malik'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®

None

Experience

Current

April 18, 2012 - Present

NIPUN CAPITAL, L.P.

Office #1: 950 Tower Lane Suite 1625, Foster City, CA 94404

RIA

CRD#: 159752

Foster City, CA

Past

September 10, 2002 - September 27, 2010

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, 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".

NIPUN CAPITAL, L.P.

NIPUN CAPITAL LLC | NIPUN CAPITAL, LLC | NIPUN CAPITAL, L.P.

CRD#: 159752 / SEC#: 801-78276

RIA

Registered Investment Advisory firm - (7/5/2013 Approved)

California

Registered Investment Advisory firm - (12/8/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/18/2012)

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

Series 63

Date: 10/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/22/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/9/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/26/2002

General Securities Principal Examination

Current Firm

NIPUN CAPITAL, L.P.

NIPUN CAPITAL LLC | NIPUN CAPITAL, LLC | NIPUN CAPITAL, L.P.

CRD#: 159752 / SEC#: 801-78276

RIA

Registered Investment Advisory firm - (7/5/2013 Approved)

California

Registered Investment Advisory firm - (12/8/2013 Terminated)

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Contact information

Main Address

950 Tower Lane Suite 1625, Foster City, CA 94404

Mailing Address

Phone number

(650) 265-4666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NIPUN ADV PART 2A - MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 1,875,603,609

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Pooja Malik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pooja Malik's CRS (Customer Relationship Summary).

Certified licenses

Experience

NIPUN CAPITAL, L.P.

BLACKROCK EXECUTION SERVICES

Primary Firm SEC Registration

NIPUN CAPITAL, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2002

Series 3

Date: 9/22/2016

Series 7

Date: 9/9/2002

Series 24

Date: 11/26/2002

Current Firm

NIPUN CAPITAL, L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NIPUN CAPITAL, L.P.

TRUST BUT VERIFY

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