Pivot Capital Partners provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Pivot Capital Partners lists corporations and other businesses as clients. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $1.4B across 2 accounts are not. It advised 5 clients without assets under management last fiscal year.
Share breakdown unavailable
| Client type | Clients | Assets |
|---|---|---|
| Corporations and other businesses | Fewer than 5 | 100% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client shares are unavailable because no positive client counts were reported.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Corporations and other businesses | Fewer than 5 | $1.4B | 100.0% | — |
| Total | Not reported | $1.4B | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $1.4B
- AUM share
- 100.0%
- Avg. per client
- —
Total
- Clients
- Not reported
- Regulatory AUM
- $1.4B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 5
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Pivot Capital Partners is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
James Pugh owns 50% to 75% of Pivot Capital Partners. The leadership team of Pivot Capital Partners includes Chief Compliance Officer Rakesh Parikh. It has 2 employees, 1 of them in advisory roles.
Staff
- 2 employees
- 1 in advisory functions
- 1 state-registered rep
- Owns 50% to 75% of Pivot Capital Partners LLC
James Pugh
Control person · since September 2021
- Owns 50% to 75% of Pivot Capital Partners LLC
Rakesh Parikh
Control person · since September 2021
Pivot Capital Partners’ regulatory assets grew Infinity× from $0 (July 2025) to $1.4B (June 2026); employees fell from 3 to 2.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jun 2026June 2026 | $1.4B | 0 | 2 | 2 |
| Jul 2025July 2025 | $0 | 0 | 3 | 3 |
Besides its headquarters, Pivot Capital Partners has 1 office (1 private residence, listed without an address), with 1 listed address in 1 state.
Illinois · 1 listed address
- 181 W. Madison Street, Suite 4700, ChicagoHQ
Contact and registration details
- Legal name
- Pivot Capital Partners LLC
- Headquarters
- 181 W. Madison Street, Suite 4700, Chicago, IL 60602
- Website
- pivotcapitalllc.com
- Phone
- 888-585-9981
- SEC file
- 801-132725
- Structure
- Florida LLC
- Fiscal year end
- January
Pivot Capital Partners’ named custodian for separately managed accounts is Etc Brokerage Services ($1.4B). Pivot Capital Partners does not have custody of client assets.
- Etc Brokerage ServicesEtc Brokerage Services, LLC · Dallas, TX · $1.4B100%
At year end, Pivot Capital Partners’ separately managed accounts were mostly in bonds (100%).
What the accounts hold
- Bonds100%
What services does Pivot Capital Partners offer?
Pivot Capital Partners provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Pivot Capital Partners use?
Pivot Capital Partners’ separately managed account assets are held at Etc Brokerage Services, LLC (Dallas, TX), with $1.4B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 June 2026
How many financial advisors does Pivot Capital Partners have?
Pivot Capital Partners has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Pivot Capital Partners invest in?
At the end of its last fiscal year, Pivot Capital Partners’ separately managed accounts held 100% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Pivot Capital Partners?
Pivot Capital Partners’ direct owners are James Pugh (50% to 75%) and Rakesh Parikh (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 9 June 2026
How does Pivot Capital Partners get paid?
Pivot Capital Partners is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Pivot Capital Partners?
Pivot Capital Partners’ main office is at 181 W. Madison Street, Suite 4700, Chicago, IL 60602. Its phone number is 888-585-9981. Its website is pivotcapitalllc.com.