{"url":"https://nivawealth.com/firms/cook-pine-capital-134911","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/134911","regulatoryAum":490303860,"crd":"134911","history":[{"filedOn":"2021-05-20","regulatoryAum":341190915,"clients":3,"employees":6,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":444778397,"clients":6,"employees":7,"offices":1},{"filedOn":"2023-03-20","regulatoryAum":386358887,"clients":5,"employees":7,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":409201719,"clients":5,"employees":7,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":456557971,"clients":5,"employees":8,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":490303860,"clients":5,"employees":8,"offices":1}],"secFileNumber":"801-64533","legalName":"Cook Pine Capital LLC","displayName":"Cook Pine Capital","slug":"cook-pine-capital-134911","website":"https://cookpinecapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/134911/c12d0546f86f5984-r1.webp","tone":"light","width":1540,"height":200,"sourceUrl":"https://www.cookpinecapital.com/","sourceLabel":"Cook Pine Capital LLC, website"},"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"55 Railroad Avenue","city":"Greenwich","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06830"},"tradeNames":[],"registration":{"secApproved":"25 July 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":8,"advisory":5,"brokerDealerReps":3,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":490303860,"discretionary":393254303,"discretionaryAccounts":5,"nonDiscretionary":97049557,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":40,"nonAumClients":5},"clientTypes":[{"label":"High-net-worth individuals","clients":2,"fewerThan5":true,"regulatoryAum":97134163},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":340781470},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":52388227}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Mufg Alternative Fund Services (Cayman) LTD","shortName":"Mufg Alternative Fund Services (Cayman)","location":"Grand Cayman","smaAssets":49557},{"name":"US Bancorp","shortName":"US Bancorp","location":"New York, NY","smaAssets":52388227},{"name":"Columbia Private Trust","shortName":"Columbia Private Trust","location":"Denver, CO","smaAssets":84606}],"custodyNote":"Cook Pine Capital has custody of $341M in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Eiichiro Kuwana","title":"President and Member","crd":"2272620"},{"name":"Patrick Neligan","title":"Chief Compliance Officer","crd":"4464655"},{"name":"Yumi Kuwana","title":"Founding Principal and Member","crd":"1606505"}],"ownership":[{"label":"Eiichiro Kuwana","detail":"President and member in the 25% to 50% ownership band and a control person, since December 2004."},{"label":"Yumi Kuwana","detail":"Founding principal and member in the 25% to 50% ownership band and a control person, since December 2004. Also a trustee of The Irrevocable Trust for Descendants of Eiichiro Kuwana in the 75% or more band and a control person, since December 2004."},{"label":"The Irrevocable Trust for Descendants of Eiichiro Kuwana","detail":"Member in the 25% to 50% ownership band and a control person, since December 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"55 Railroad Avenue","city":"Greenwich","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-861-2930","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Cash and cash equivalents","percent":65},{"label":"Other","percent":35,"detail":"Portfolios of Single Hedge Fund and Private Equity Fund Positions - Varying by Strategy."}],"privateFunds":3},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/134911/PDF/134911.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Cook Pine Capital have?","answer":"Cook Pine Capital has 5 clients and manages $490 million for them, as of March 2026. They include 2 high-net-worth individuals, 2 pooled investment vehicles and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cook Pine Capital offer?","answer":"Cook Pine Capital provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Cook Pine Capital use?","answer":"Cook Pine Capital’s separately managed account assets are held at US Bancorp (New York, NY), with $52.4M, Columbia Private Trust (Denver, CO), with $84.6K and Mufg Alternative Fund Services (Cayman) LTD (Grand Cayman), with $49.6K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Cook Pine Capital have?","answer":"Cook Pine Capital has 0 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Cook Pine Capital invest in?","answer":"At the end of its last fiscal year, Cook Pine Capital’s separately managed accounts held 65% cash and equivalents and 35% other. The 35% other category is described as: Portfolios of Single Hedge Fund and Private Equity Fund Positions - Varying by Strategy. It advises 3 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Cook Pine Capital?","answer":"Cook Pine Capital’s direct owners are Eiichiro Kuwana, Yumi Kuwana and the Irrevocable Trust for Descendants of Eiichiro Kuwana, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cook Pine Capital get paid?","answer":"Cook Pine Capital is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Cook Pine Capital?","answer":"Cook Pine Capital’s main office is at 55 Railroad Avenue, Greenwich, CT 06830. Its phone number is 203-861-2930. Its website is cookpinecapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}