PINNACLE CAPITAL MANAGEMENT, LLC
Adviser information for PINNACLE CAPITAL MANAGEMENT, LLC last updated from Form ADV on April 3rd, 2023. 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 394 | $183.4M |
| Non-Discretionary | 19 | $46.1M |
| Total | 413 | $229.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 364 | $101.2M |
| HNW Individuals | 22 | $44.7M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 1 | $30.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $6.2M |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | 6 | $863,747 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 19 | $46.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops403B RETIREMENT PLANS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-67143 |
|---|---|
| SEC ERA File Number | 801-67143 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141661 |
| Legal Entity Identifier | None |
Principal Office
5845 WIDEWATERS PARKWAYSUITE 300
EAST SYRACUSE
NY
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 315-234-9716, Fax: 315-251-0042
Websites
Chief Compliance Officer
KEVIN MCCLELLAND
CHIEF EXECUTIVE OFFICER
5845 WIDEWATERS PARKWAY
SUITE 300
EAST SYRACUSE
NY
United States
Tel:
315-234-9716
Fax:
315-637-0090
K**********@***************M
(Full email address available in API data)
Regulatory Contact
STEPHEN FAUER
5845 WIDEWATERS PARKWAY
SUITE 300
EAST SYRACUSE
NY
United States
Tel:
3152349716
S*****@***************M
(Full email address available in API data)
Industry Affiliates
| CONFIDENTIAL PLANNING I, LLC | Other investment adviser, including financial planners |
| PINNACLE INVESTMENTS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NEW YORK SERVICE AWARD FUND, EXCLUSIVE LP | Hedge Fund | $6.5M | $0.1M | 23 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FAUER, STEPHEN, JULIUS | Individual | – | CHIEF INVESTMENT OFFICER | 10/2008 | < 5% |
| PINNACLE HOLDING COMPANY, LLC | Domestic Entity | – | OWNER | 06/2006 | > 75% |
| FKAPI, INC. | Domestic Entity | PINNACLE HOLDING COMPANY, LLC | MEMBER | 08/2006 | > 75% |
| MCCLELLAND, KEVIN RYAN | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| KIDD, GREGG, ANTHONY | Individual | PINNACLE HOLDING COMPANY, LLC | OWNER | 08/2006 | 25-50% |
| MCCLELLAND, KEVIN RYAN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2013 | < 5% |