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PATEL CAPITAL MANAGEMENT

· CRD 332403 · IAPD ↗ · patelcapitalmgmt.com · 415-867-4301

$7.0MRegulatory AUM
1Advisory reps
1Employees
0Clients
1-10Planning clients
0Private funds
2States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
January 2025 — PATEL CAPITAL MANAGEMENT (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
58
December 2024 — PATEL CAPITAL MANAGEMENT reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
October 2024 — PATEL CAPITAL MANAGEMENT (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.