Pivot Point Wealth Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$22,738,594
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
78
8% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
78
Average account size
$291,520
About
Pivot Point Wealth Planning serves individual and high-net-worth clients as well as employer plan sponsors, providing discretionary portfolio management alongside project-based and comprehensive financial planning. The firm also advises participant-directed retirement plans, offering plan structure, investment option review, and participant education as part of its employee benefit plan services.
The firm primarily constructs passive portfolios using index mutual funds and ETFs but supplements that approach with fundamental, technical, cyclical and charting analysis when conducting investment analysis and setting allocation targets. Client relationships are guided by individualized investment policy statements and periodic monitoring; managed-account clients receive custodial statements but the firm does not provide separate written investment reports.
Notable for a single-advisor, small RIA, Pivot Point combines ERISA-aware employee-plan consulting and a custodial relationship with a major platform while maintaining no related-party affiliations or third-party compensation arrangements. The principal holds the CFP® designation, the firm declined performance-based fees and outside manager referrals, and it uses standing transfer authorizations and other operational practices that may differ from many peers.
Client services
Financial planning
Portfolio management
Pension consulting
Fee options
$0 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.75% $3,000,001+: 0.50%
Fee-only: Project-Based Financial Planning fixed fees range from $500 to $5,000 based on complexity and scope.
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Main office location
Pivot Point Wealth Planning
512 Hillcrest Drive, Suite D
Brandenburg KY 40108, United States
Number of offices
1
Forms ADV
Quick links
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