Pivotal Wealth and Tax

RIAState Registered
Total AUM
$17.4M
Discretionary
$17.4M
100% of AUM
Avg account
$55K
Accounts
317
Employees
4
Advisory reps
4

Firm details

Headquarters
Preston, Minnesota
CRD number
321023
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Subscription Fees, Fixed Fees
Client types
  • Individuals55.7%
  • HNWI39.72%
  • Corporations / Businesses4.58%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Pivotal Wealth and Tax is an independent, individually owned LLC that provides financial planning and portfolio management primarily for individuals, families and small-business owners, while also working with some institutional clients. The firm offers multiple fee arrangements — percentage of AUM, hourly, subscription and fixed-fee engagements — and lists its core advisory services as financial planning and portfolio management for individuals and small businesses. It maintains industry relationships with accountants, an insurance company and a real estate broker, and is state-registered in California, Illinois, Minnesota and Wisconsin.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Non-Exchange Traded Equities 75%, Exchange Traded Equities 20%, US Government Bonds 4%, Cash & Cash Equivalents 1%75%
  • Non-Exchange Traded Equities75%
  • Exchange Traded Equities20%
  • US Government Bonds4%
  • Cash & Cash Equivalents1%

Owners & executives

1 of 1
  • Aikan Major

    Aikan Major

    CEO and Financial AdvisorCRD 6648680

Contacts

3 of 3
  • Richard Caldecott

    Financial AdvisorCRD 6191437

  • Matthew Sandstrom

    Matthew Sandstrom

    Financial AdvisorCRD 7047808

  • Mitchell Bernards

    Mitchell Bernards

    Investment Adviser RepresentativeCRD 6874369

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Preston, MN

Fillmore

Location

Preston, MN

Headquartered in Preston, MN, anchoring the Rochester-Austin, MN metro in the Midwest.

Metro area
Rochester-Austin, MN
Region
Midwest
County
Fillmore
Address
141 Fillmore St W
Time zone
CT (UTC-6)
Office locations

Similar firms

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth