Neel G. Patel

OM PACIFIC CAPITAL LLC

Walnut Creek, CA

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CRD#: 4954001

Professional summary

Neel Girish Patel, who also goes by Neel G Patel, is a registered financial advisor currently at OM PACIFIC CAPITAL LLC located in Walnut Creek, California.

Neel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Neel has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neel G Patel

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.

1. MANAGING MEMBER OF ACESO INTERESTS, LLC, ACESO INTERSTS II, LLC, and ACESO INTERESTS III, LLC. A SPECIAL PURPOSE INVESTMENT VEHICLES THAT INVESTS PRIMARILY IN VENTURE DEALS. THE FUNDS WILL BE OFFERED TO CURRENT CLIENTS OF OM PACIFIC CAPITAL, LLC, BUT ARE UNDER NO OBLIGATION TO INVEST; INVESTMENT RELATED; LOS GATOS, CA; ACTIVITY WILL TAKE PLACE OUTSIDE OF SECURITIES TRADING HOURS AND WILL TOTAL ABOUT 10 HOURS PER WEEK. 2. Board member of Whiterabbit.ai Inc. - Healthcare company working for early detection of cancer using artificial intelligence in radiology - Duties include advising on strategic partnerships, financing of equity and debt, and strategic introductions to healthcare professionals. He spends approximately 30 hours a month on this activity, 1 of which is during trading hours. 3. OMC Credit Fund LP; OMC Credit Fund GP LLC; Investment-related business; 555 East Loockerman Street, Suite 320 Dover, DE County of Kent, 19901; Private Credit Fund; General Partner; Start Date: 4/2/2024; 60 hours per month; 0 hours during trading hours; Raising capital form LPs and initially choosing the credit loans to be in the portfolio as we have a buy and hold strategy for 3-5 years. Giving updates to LPs on performance of the fund.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neel Girish Patel'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

July 31, 2015 - Present

OM PACIFIC CAPITAL LLC

RIA

CRD#: 269970

Walnut Creek, CA

Past

January 9, 2006 - August 4, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JOSE, CA

Past

January 9, 2006 - August 4, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN JOSE, CA

Past

August 18, 2005 - October 6, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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
(7/31/2015)

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: 12/3/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2005

General Securities Representative Examination

Current Firm

OM PACIFIC CAPITAL LLC

CRD#: 269970 / SEC#: 801-101513

RIA

Registered Investment Advisory firm - (3/10/2016 Terminated)

California

Registered Investment Advisory firm - (3/9/2016 Approved)

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).

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Contact information

Main Address

Walnut Creek, CA

Mailing Address

Phone number

(415) 234-3581

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 60,000,000

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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Neel G. Patel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neel Girish Patel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OM PACIFIC CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/2005

Series 63

Date: 10/15/2005

SIE

Date: 8/4/2015

Series 7

Date: 8/17/2005

Current Firm

OM PACIFIC CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OM PACIFIC CAPITAL LLC

TRUST BUT VERIFY

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