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PIVOT CAPITAL PARTNERS LLC

CHICAGO, IL · CRD 335324 · IAPD ↗ · pivotcapitalllc.com · 888-585-9981

$1.40BRegulatory AUM
1Advisory reps
2Employees
5Clients
0Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — PIVOT CAPITAL PARTNERS LLC crossed $1B in regulatory AUM ($139.0M -> $1.40B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
42
August 2025 — PIVOT CAPITAL PARTNERS LLC notice-filed in AL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
August 2025 — PIVOT CAPITAL PARTNERS LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
95
June 2025 — PIVOT CAPITAL PARTNERS LLC (CHICAGO, IL) 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.