Cook Pine Capital LLC (Greenwich)

Name: Cook Pine Capital LLC
Address: 2 Sound View Drive, Greenwich, CT, 06830
Telephone: 203-861-2930

Cook Pine Capital LLC is a large advisory firm based in Greenwich. It manages $260.16 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Connecticut, Delaware, and New York.

Cook Pine Capital provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cook Pine Capital: assets under management

The assets under management (AUM) of Cook Pine Capital LLC is $260.16 million. The firm's AUM has grown by 864% since the beginning of its operation, and $45.66 million of the total AUM is attributable to clients outside of the United States.

The firm manages $198.3 million in discretionary accounts and $61.86 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.03 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $30.93 million.

Cook Pine Capital has custody of $105.78 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 84% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 16% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cook Pine Capital LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Cook Pine Capital serves?

The only and largest group of clients of Cook Pine Capital is pooled investment vehicles with 2 clients and $96.79 million of assets under management. Among the 7 most similar advisory firms, Cook Pine Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $96.79 million for 2 clients. 43% of the firm’s clients are foreign persons or businesses.

Cook Pine Capital also advises several private funds. Namely, two hedge funds and one private equity fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Cook Pine Capital LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Eiichiro Kuwana	President and member	1 Dec 2004	25% - 50%	2272620
Yumi Mera Kuwana	Founding principal and member	1 Dec 2004	25% - 50%	1606505
The Irrevocable Trust For Descendants Of Eiichiro Kuwana	Member	1 Dec 2004	25% - 50%	xxx-xx-xxxx
Patrick Neligan	Chief compliance officer	1 Jun 2006	Other	4464655

Based in Greenwich

The principal office where Cook Pine Capital LLC performs its advisory services is located at 2 Sound View Drive, Greenwich, CT 06830, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-861-2930 or by fax 203-861-2931. The normal business hours are 8 am to 6 pm on Monday - Friday. You can find more information about the New York firm at cookpinecapital.com/.