PINNACLE ASSET MANAGEMENT, L.P.
Adviser information for PINNACLE ASSET MANAGEMENT, L.P. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 24 | $8.0B |
| Non-Discretionary | 0 | $0 |
| Total | 24 | $8.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 24 | $8.0B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 24 |
| No. of Non-U.S. Clients | 46 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesADVISORY/CONSULTING |
|---|---|
| Compensation | % of AUMPerformance-based feesFEE SHARING |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
712 FIFTH AVENUE29TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 A.M - 5:30 P.M.
Tel: 212-750-1778, Fax: 212-750-1825
Websites
Chief Compliance Officer
TIMOTHY P. FAENZA
712 FIFTH AVENUE
29TH FLOOR
NEW YORK
NY
United States
Tel:
646-717-8010
Fax:
212-750-1825
T******@**************M
(Full email address available in API data)
Regulatory Contact
JOHN J LEE
CHIEF FINANCIAL OFFICER
712 FIFTH AVENUE
29TH FLOOR
NEW YORK
NY
United States
Tel:
212-750-1778
Fax:
212-750-1825
J***@**************M
(Full email address available in API data)
Industry Affiliates
| PINNACLE ASSOCIATES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| P FUND L.P. D/B/A PINNACLE FUND | Hedge Fund | $0.0M | $1.0M | 0 |
| PINNACLE ARCADIA CATTLE PARTNERS FUND, L.P. | Hedge Fund | $481.5M | $1.0M | 54 |
| PINNACLE MERRITT POINT COMMODITY MASTER FUND, LTD. | Hedge Fund | $63.4M | $1.0M | 1 |
| PINNACLE NATURAL RESOURCES, L.P. | Hedge Fund | $2,705.8M | $1.0M | 112 |
| PINNACLE OPPORTUNITY, LP | Hedge Fund | $83.2M | $1.0M | 58 |
| PINNACLE PACIFIC ENERGY TRADING LIMITED PARTNERSHIP | Hedge Fund | $235.2M | $1.0M | 4 |
| PINNACLE PHYSICALS & FINANCING MASTER, LTD. | Hedge Fund | $688.6M | $1.0M | 29 |
| PINNACLE SIX ONE COMMODITIES, LLC | Hedge Fund | $565.0M | $1.0M | 22 |
| PINNACLE VISERION AGRICULTURE INTERNATIONAL, LLC | Hedge Fund | $484.5M | $1.0M | 21 |
| WAYSTONE QIAIF PLATFORM ICAV - GRAVITAS FUND | Hedge Fund | $2,654.9M | $1.0M | 1 |
| WAYSTONE QIAIF PLATFORM ICAV - MONTES FUND | Hedge Fund | $1,492.2M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PINNACLE ASSET MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 07/2003 | < 5% |
| SEGALAS, DONNELL, ANTHONY | Individual | – | MANAGING PARTNER/CHIEF EXECUTIVE OFFICER/LIMITED PARTNER | 12/2003 | < 5% |
| LEE, JOHN, JOSEPH | Individual | – | CHIEF FINANCIAL OFFICER | 06/2003 | < 5% |
| MASSIMB, MARCEL, N | Individual | – | MANAGING DIRECTOR, RESEARCH AND RISK MANAGEMENT/LIMITED PARTNER | 05/2004 | 5-10% |
| KELLMAN, JASON, M | Individual | – | MANAGING PARTNER/CHIEF INVESTMENT OFFICER/LIMITED PARTNER | 12/2005 | 25-50% |
| KELLMAN, SCOTT, LEE | Individual | – | MANAGING PARTNER/LIMITED PARTNER | 03/2006 | 10-25% |
| FAENZA, TIMOTHY, PETER | Individual | – | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT OF FINANCE | 01/2008 | < 5% |
| KELLMAN, JASON, M | Individual | PINNACLE ASSET MANAGEMENT, LLC | MANAGING MEMBER | 12/2005 | 25-50% |
| KELLMAN, SCOTT, LEE | Individual | PINNACLE ASSET MANAGEMENT, LLC | MANAGING MEMBER | 03/2006 | |
| SEGALAS, DONNELL, ANTHONY | Individual | PINNACLE ASSET MANAGEMENT, LLC | MANAGING MEMBER | 12/2003 | |
| ROPART INVESTMENTS, LLC | Domestic Entity | RAM PEAK, LLC | MEMBER | 04/2012 | 50-75% |
| ROBERT B. GOERGEN LIVING TRUST | Domestic Entity | ROPART INVESTMENTS, LLC | MEMBER | 12/1994 | 25-50% |
| GOERGEN, ROBERT, B. (MI ONLY) | Individual | ROBERT B. GOERGEN LIVING TRUST | TRUSTEE | 09/1991 | |
| NGI STRATEGIC HOLDINGS (A) LP | Domestic Entity | – | LIMITED PARTNER | 02/2021 | 10-25% |
| NGI STRATEGIC HOLDINGS GP LLC | Foreign Entity | NGI STRATEGIC HOLDINGS (A) LP | GENERAL PARTNER | 02/2021 | |
| NGI STRATEGIC HOLDINGS II, INC. | Domestic Entity | NGI STRATEGIC HOLDINGS (A) LP | LIMITED PARTNER | 02/2021 | > 75% |
| RAM PEAK, LLC | Domestic Entity | – | LIMITED PARTNER | 12/2013 | 10-25% |
| NGI STRATEGIC HOLDINGS II, INC. | Domestic Entity | NGI STRATEGIC HOLDINGS GP LLC | MANAGING MEMBER | 02/2021 | > 75% |
| NGI STRATEGIC HOLDINGS I, INC. | Domestic Entity | NGI STRATEGIC HOLDINGS II, INC. | SHAREHOLDER | 02/2021 | > 75% |
| NAVIGATOR GLOBAL INVESTMENTS LIMITED | Foreign Entity | NGI STRATEGIC HOLDINGS I, INC. | SHAREHOLDER | 02/2021 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M Company | COM | 528 | 5K | – |
| AFLAC Inc | COM | 814 | 9K | – |
| AMGEN Inc | COM | 3K | 10K | – |
| AT&T Inc | COM | 625 | 33K | – |
| AbbVie | COM | 343 | 2K | – |
| Abbott Laboratories Inc | COM | 850 | 8K | – |
| Adobe Systems Inc | COM | 758 | 1K | – |
| Alphabet Inc Class A | COM | 3K | 14K | – |
| Alphabet Inc Class C | COM | 1K | 6K | – |
| Amazon.Com Inc | COM | 4K | 19K | – |
| American Electric Power Inc | COM | 428 | 5K | – |
| American Express Co | COM | 232 | 1K | – |
| American Water Works Company I | COM | 209 | 2K | – |
| Apple Inc | COM | 8K | 40K | – |
| Atmos Energy Corporation | COM | 228 | 2K | – |
| Automatic Data Processing Inc | COM | 1K | 5K | – |
| BHP Group Ltd | COM | 452 | 8K | – |
| Becton Dickenson & Company Inc | COM | 494 | 2K | – |
| Berkshire Hathaway Inc | COM | 1K | 3K | – |
| Black Hills Corporation | COM | 278 | 5K | – |
| Blackrock Inc | COM | 2K | 2K | – |
| Boeing Company Inc | COM | 793 | 4K | – |
| Bristol-Myers Squibb Company | COM | 550 | 13K | – |
| CISCO Systems Inc | COM | 1K | 28K | – |
| Caterpillar Inc | COM | 2K | 5K | – |
| Chevron Corporation | COM | 2K | 14K | – |
| Colgate-Palmolive Company | COM | 787 | 8K | – |
| ConocoPhillips | COM | 1K | 10K | – |
| Consolidated Edison Inc | COM | 280 | 3K | – |
| Corteva, Inc | COM | 219 | 4K | – |
| Costco Wholesale Corp | COM | 2K | 2K | – |
| Danaher Corporation | COM | 628 | 3K | – |
| Darden Resturants Inc | COM | 303 | 2K | – |
| Deere & Company | COM | 1K | 4K | – |
| Diageo PLC ADR | COM | 327 | 3K | – |
| Dow Inc | COM | 229 | 4K | – |
| DuPont de Nemours, Inc. | COM | 271 | 3K | – |
| Duke Energy Corporation | COM | 444 | 4K | – |
| Eli Lilly & Company | COM | 4K | 5K | – |
| Enterprise Products Partners L | COM | 2K | 60K | – |
| Exxon Mobil Corporation | COM | 2K | 19K | – |
| General Dynamics Corporation | COM | 411 | 1K | – |
| General Mills Inc | COM | 288 | 5K | – |
| Genuine Parts Company | COM | 927 | 7K | – |
| Goldman Sachs Group Inc | COM | 2K | 4K | – |
| Home Depot Inc | COM | 3K | 9K | – |
| Honeywell International Inc | COM | 1K | 5K | – |
| Huntington Ingalls Industries | COM | 301 | 1K | – |
| Illionois Tool Works Inc | COM | 678 | 3K | – |
| Intel Corporation | COM | 897 | 29K | – |
| International Business Machine | COM | 1K | 6K | – |
| International Paper Company | COM | 448 | 10K | – |
| Intuit Inc | COM | 894 | 1K | – |
| J P Morgan Chase & Company | COM | 3K | 16K | – |
| Johnson & Johnson | COM | 2K | 15K | – |
| Kinder Morgan Inc | COM | 2K | 96K | – |
| Linde plc | COM | 478 | 1K | – |
| Lockheed Martin Company | COM | 621 | 1K | – |
| Lowe's Companies Inc | COM | 683 | 3K | – |
| McDonalds Corporation | COM | 2K | 7K | – |
| Medtronic PLC | COM | 609 | 8K | – |
| Merck & Company Inc | COM | 1K | 9K | – |
| Meta Platforms Inc | COM | 3K | 6K | – |
| Microsoft Corporation | COM | 11K | 25K | – |
| Mondelez International Inc | COM | 518 | 8K | – |
| NVIDIA Corp | COM | 4K | 34K | – |
| Nestle S A ADR | COM | 295 | 3K | – |
| NextEra Energy Inc | COM | 603 | 9K | – |
| NextEra Energy Partners | COM | 240 | 9K | – |
| Norfolk Southern Corporation | COM | 854 | 4K | – |
| Novartis AG | COM | 436 | 4K | – |
| OGE Energy Corporation | COM | 223 | 6K | – |
| ONEOK, Inc | COM | 2K | 22K | – |
| Oracle Corporation | COM | 2K | 11K | – |
| Paccar Inc | COM | 467 | 5K | – |
| Pepsico Inc | COM | 898 | 5K | – |
| Pfizer Inc | COM | 389 | 14K | – |
| Philip Morris International | COM | 304 | 3K | – |
| Procter & Gamble Co | COM | 1K | 7K | – |
| Prudential Financial Inc | COM | 679 | 6K | – |
| Qualcomm Inc | COM | 1K | 5K | – |
| RTX Corporation | COM | 288 | 3K | – |
| Royal Bank of Canada | COM | 426 | 4K | – |
| Seagate Technology | COM | 536 | 5K | – |
| Skyworks Solutions Inc | COM | 375 | 4K | – |
| Southern Company | COM | 419 | 5K | – |
| Starbucks Corporation | COM | 583 | 7K | – |
| Target Corporation | COM | 444 | 3K | – |
| Texas Instruments Inc | COM | 2K | 8K | – |
| The Blackstone Group | COM | 2K | 15K | – |
| The Coca-Cola Company | COM | 698 | 11K | – |
| The Hershey Company | COM | 327 | 2K | – |
| The Walt Disney Company | COM | 1K | 15K | – |
| Toronto-Dominion Bank | COM | 206 | 4K | – |
| Union Pacific Corporation | COM | 2K | 8K | – |
| United Parcel Service Class B | COM | 773 | 6K | – |
| UnitedHealth Group Inc | COM | 4K | 7K | – |
| Verizon Communications | COM | 932 | 23K | – |
| Visa Inc Class A | COM | 1K | 5K | – |
| Wal-Mart Stores Inc | COM | 2K | 31K | – |
| Warner Brother's Discovery | COM | 106 | 14K | – |
| Washington Federal Inc | COM | 286 | 10K | – |
| Weyerhauser Company | COM | 292 | 10K | – |
| Williams Companies Inc | COM | 2K | 54K | – |
| salesforce.com inc | COM | 287 | 1K | – |