{"url":"https://nivawealth.com/firms/pivot-capital-partners-335324","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/335324","regulatoryAum":1400000000,"crd":"335324","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6949266","suffix":"Jr","lastName":"Pugh","firstName":"James","middleName":"Bates"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-07-17","regulatoryAum":0,"clients":0,"employees":3,"offices":3},{"filedOn":"2026-06-09","regulatoryAum":1400000000,"clients":0,"employees":2,"offices":2}],"secFileNumber":"801-132725","legalName":"Pivot Capital Partners LLC","displayName":"Pivot Capital Partners","slug":"pivot-capital-partners-335324","website":"https://pivotcapitalllc.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"January","headquarters":{"street":"181 W. Madison Street, Suite 4700","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60602"},"tradeNames":[],"registration":{"secApproved":"6 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1400000000,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":1400000000,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1400000000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Etc Brokerage Services, LLC","shortName":"Etc Brokerage Services","location":"Dallas, TX","smaAssets":1400000000}],"custodyNote":"Pivot Capital Partners does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Rakesh Parikh","title":"Partner / Chief Compliance Officer","crd":"2497887"},{"name":"James Pugh","title":"Partner","crd":"6949266"}],"ownership":[{"label":"James Pugh","detail":"Partner in the 50% to 75% ownership band and a control person, since September 2021."},{"label":"Rakesh Parikh","detail":"Partner / chief compliance officer in the 50% to 75% ownership band and a control person, since September 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"181 W. Madison Street, Suite 4700","city":"Chicago","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"888-585-9981","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Investment grade corporate bonds","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"9 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/335324/PDF/335324.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":"What services does Pivot Capital Partners offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Pivot Capital Partners use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Pivot Capital Partners have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Pivot Capital Partners invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Pivot Capital Partners?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pivot Capital Partners get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Pivot Capital Partners?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 9 June 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."}