Hedge Fund Database

PINNACLE INVESTMENTS, LLC

Adviser information for PINNACLE INVESTMENTS, LLC 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 Liability Company
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 61
Investment Advisory/Research 51
Registered Broker-Dealer Representatives 57
Registered State Investment Advisers 57
Licensed Agents of an Insurance Company 35
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,780 $959.9M
Non-Discretionary 17 $5.0M
Total 2,797 $964.9M

Clients

Type Number RAUM
Individuals 1,544 $840.6M
HNW Individuals 12 $106.5M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
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 <5 $17.8M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesEDUCATIONAL WORKSHOPS
Other Business Activities Broker-dealerRegistered representative of a broker-dealerInsurance broker or agentROBO ADVISOR

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 51.3M
Portfolio Manager 0
Both for Same 4.6M
Portfolio Manager to Program Sponsor
PIM (PRIVATE INVESTMENT MANAGEMENT) WELLS FARGO ADVISORS
ASSET ADVISOR WELLS FARGO ADVISORS
CUSTOMCHOICE WELLS FARGO ADVISORS
CUSTOMIZED PORTFOLIOS WELLS FARGO ADVISORS
PERSONALIZED UMA SINGLE STRATEGY WELLS FARGO ADVISORS
ASCEND BETTERMENT
PRIVATE ADVISOR NETWORK WELLS FARGO ADVISORS
PERSONALIZED UMA MULTI-STRATEGY WELLS FARGO ADVISORS
FUNDSOURCE WELLS FARGO ADVISORS

Identifiers

SEC RIA File Number 801-67860
SEC ERA File Number 801-67860
SEC CIK Numbers None
SEC CRD Numbers 142910
Legal Entity Identifier None

Principal Office

5845 WIDEWATERS PKWY
STE 300
EAST SYRACUSE
NY
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: 315-251-1101, Fax: 315-251-1110

Websites

pinnacleinvestments.com/ www.facebook.com/pinnacleinvestments www.linkedin.com/company/pinnacle-investments-llc

Chief Compliance Officer

MONICA COLES
CHIEF COMPLIANCE OFFICER
5845 WIDEWATERS PKWY
STE 300
EAST SYRACUSE
NY
United States
Tel: 315-251-1101
Fax: 315-251-1110
(Full email address available in API data)

Regulatory Contact

ERIC KROUSE
CHIEF OPERATING OFFICER
5845 WIDEWATERS PKWY
STE 300
EAST SYRACUSE
NY
United States
Tel: 315-295-1101
Fax: 315-251-1110
(Full email address available in API data)

Industry Affiliates

PINNACLE ADVISORS LLC Other investment adviser, including financial planners
PINNACLE CAPITAL MANAGEMENT, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
PINNACLE HOLDING CO, LLC Domestic Entity – MANAGING MEMBER 11/2006 > 75%
GEORGE, KENNETH RONALD Individual – FINOP 06/2007 < 5%
KROUSE, ERIC DOUGLAS Individual – COO / OPTIONS PRINCIPAL 03/2011 < 5%
FKAPI, INC Domestic Entity PINNACLE HOLDING COMPANY, LLC SHAREHOLDER 04/2007 > 75%
KIDD, GREGG ANTHONY Individual FKAPI, INC SHAREHOLDER 11/2006
RAITE, DANIEL FRANCIS Individual FKAPI, INC SHAREHOLDER 11/2006
QUILTY, BENJAMIN RYAN Individual – CHIEF EXECUTIVE OFFICER 07/2019 < 5%
COLES, MONICA ANN Individual – CHIEF COMPLIANCE OFFICER 10/2022 < 5%

No. Employees, Historic

70350201920202021202220232024202533 on 4/29/201932 on 3/24/202032 on 6/23/202032 on 6/23/202032 on 9/25/202051 on 3/18/202151 on 4/30/202151 on 5/10/202151 on 8/9/202151 on 9/21/202151 on 1/3/202251 on 3/15/202251 on 4/22/202251 on 4/22/202251 on 4/27/202251 on 5/5/202251 on 5/18/202251 on 10/19/202251 on 10/19/202251 on 10/28/202261 on 3/31/202361 on 6/5/202361 on 6/8/202361 on 7/13/202361 on 7/17/202361 on 8/11/202361 on 12/7/202361 on 12/8/202361 on 12/11/202361 on 3/20/202461 on 3/29/2024

RAUM, Historic

1B500M02019202020212022202320242025439932339 on 4/29/2019525928894 on 3/24/2020525928894 on 6/23/2020525928894 on 6/23/2020525928894 on 9/25/2020814709000 on 3/18/2021814708990 on 4/30/2021814708990 on 5/10/2021814708990 on 8/9/2021814708990 on 9/21/2021814708990 on 1/3/2022877530956 on 3/15/2022877530956 on 4/22/2022877530956 on 4/22/2022877530956 on 4/27/2022877530956 on 5/5/2022877530956 on 5/18/2022877530956 on 10/19/2022877530956 on 10/19/2022877530956 on 10/28/2022819159079 on 3/31/2023848392653 on 6/5/2023848392653 on 6/8/2023848392653 on 7/13/2023848392653 on 7/17/2023848392653 on 8/11/2023848392653 on 12/7/2023848392653 on 12/8/2023848392653 on 12/11/2023848392653 on 3/20/2024964888091 on 3/29/2024

No. Clients, Historic

3,0001,500020192020202120222023202420251090 on 4/29/20191247 on 3/24/20201247 on 6/23/20201247 on 6/23/20201247 on 9/25/20202059 on 3/18/20212059 on 4/30/20212059 on 5/10/20212059 on 8/9/20212059 on 9/21/20212059 on 1/3/20222438 on 3/15/20222438 on 4/22/20222438 on 4/22/20222438 on 4/27/20222438 on 5/5/20222438 on 5/18/20222438 on 10/19/20222438 on 10/19/20222438 on 10/28/20221922 on 3/31/20231840 on 6/5/20231840 on 6/8/20231840 on 7/13/20231840 on 7/17/20231840 on 8/11/20231840 on 12/7/20231840 on 12/8/20231840 on 12/11/20231840 on 3/20/20241558 on 3/29/2024