Firm profile

Cook Pine Capital LLC

GREENWICH, CTCRD 134911Registration Status: ApprovedEffective since July 25, 2005SEC # 801-64533Latest ADV March 26, 2026

Cook Pine Capital LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Greenwich, CT. Its latest Form ADV filing, dated March 26, 2026, reports $490M in regulatory assets under management, 8 employees, 1 office, and 7 accounts.

Assets Under Management
$490M
Employees
8
Offices
1 office
Total Clients
5

Associated firm names

1 name listed
  • COOK PINE CAPITAL LLC

Leadership

1 roles identified
CCOPatrick Neligan

Advisory services offered

3 types reported
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles
Selection of other advisers

Fee models offered

3 types reported
Asset based fees
Fixed fees
Performance-based fees

Offices & Contact

Primary office

GREENWICH, Connecticut, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Connecticut

GREENWICHPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$490Mas of March 26, 2026
Discretionary80.2%
$393M
80% of total RAUM80.2%
Non-discretionary19.8%
$97M
20% of total RAUM19.8%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 40.0% of total clients.
Top client categories% of clientsClients
1
HNWI
40.0%
2
2
Pooled Investment Vehicles
40.0%
2
3
Charitable
20.0%
1
Categories with <5 clients
Charitable Organizations<5 clients
High net worth individuals (HNWI)<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$490M
Total Accounts7
10Y AUM Change+$241M (+96.6%)

Private Funds

Private funds reported by Cook Pine Capital LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees8
Clients per Employee1:1
10Y Employee Change+2 (+33.3%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
EIICHIRO KUWANADirect owner · Schedule AInterest in COOK PINE CAPITAL LLC
25% to < 50%
YUMI MERA KUWANADirect owner · Schedule AInterest in COOK PINE CAPITAL LLC
25% to < 50%
THE IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANADirect owner · Schedule AInterest in COOK PINE CAPITAL LLC
25% to < 50%
YUMI MERA KUWANAIndirect owner · Schedule BInterest in THE IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANA
75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Cook Pine Capital LLC.

Reported ownership and control details

Form ADV · Filing date 2026-03-26 · Schedules A and B

5 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1EIICHIRO KUWANAPRESIDENT AND MEMBERIndividualCOOK PINE CAPITAL LLC25% to less than 50%Code CYesPRESIDENT AND MEMBER12/2004Schedule APDF page 33
2YUMI MERA KUWANAFOUNDING PRINCIPAL AND MEMBERIndividualCOOK PINE CAPITAL LLC25% to less than 50%Code CYesFOUNDING PRINCIPAL AND MEMBER12/2004Schedule APDF page 33
3THE IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANAMEMBERDomestic entityCOOK PINE CAPITAL LLC25% to less than 50%Code CYesMEMBER12/2004Schedule APDF page 33
4PATRICK NELIGANCHIEF COMPLIANCE OFFICERIndividualCOOK PINE CAPITAL LLCLess than 5%Code NANoCHIEF COMPLIANCE OFFICER06/2006Schedule APDF page 33
5YUMI MERA KUWANATRUSTEEIndividualTHE IRREVOCABLE TRUST FOR DESCENDANTS OF EIICHIRO KUWANA75% or moreCode EYesTRUSTEE12/2004Schedule BPDF page 33

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/26/2026 5:33:04 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.