{
  "crd_number": 107275,
  "slug": "pinnacle-advisors-llc-east-syracuse-ny-107275",
  "primary_business_name": "PINNACLE ADVISORS LLC",
  "legal_name": "PINNACLE ADVISORS LLC",
  "dbas": [],
  "city": "East Syracuse",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "45060",
  "metro": {
    "cbsa_code": "45060",
    "common_name": "Syracuse",
    "msa_name": "Syracuse, NY",
    "path": "/advisors/ny/syracuse"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1996-12-19",
  "years_registered": 29,
  "period": "2026-10-01",
  "filing_date": "2026-03-26",
  "carried_forward": false,
  "raum_total": 433140.0,
  "raum_discretionary": 433140.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 0.0,
      "count": 1
    },
    "pooled_investment_vehicles": {
      "raum": 433140.0,
      "count": 1
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [],
  "websites": [
    "https://nysafunds.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107275",
  "disclosure_items": [
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    }
  ],
  "city_as_filed": "EAST SYRACUSE",
  "url": "https://advisorcensus.com/firm/pinnacle-advisors-llc-east-syracuse-ny-107275",
  "display_name": "Pinnacle Advisors LLC",
  "summary": "Pinnacle Advisors LLC is an SEC-registered investment advisory firm in East Syracuse, NY, registered since 1996, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.",
  "citation": "AdvisorCensus. Pinnacle Advisors LLC (CRD 107275): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Pinnacle Advisors LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Pinnacle Advisors LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Pinnacle Advisors LLC located?",
      "a": "Pinnacle Advisors LLC's principal office is in East Syracuse, NY, according to its Form ADV."
    },
    {
      "q": "Is Pinnacle Advisors LLC registered with the SEC or a state?",
      "a": "Pinnacle Advisors LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 107275."
    },
    {
      "q": "How much does Pinnacle Advisors LLC manage?",
      "a": "Pinnacle Advisors LLC reports $433,140 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary)."
    },
    {
      "q": "How have Pinnacle Advisors LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Pinnacle Advisors LLC: Regulatory assets under management: $589,017 in the October 2021 data and $433,140 in the October 2026 data, down 26%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Pinnacle Advisors LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (1); pooled investment vehicles (other than investment companies and business development companies) (1)."
    },
    {
      "q": "Does Pinnacle Advisors LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order) and 11.H(1)(c) (regulator's civil action dismissed under a settlement). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107275"
    },
    {
      "q": "What changed in Pinnacle Advisors LLC's recent Form ADV filings?",
      "a": "In the December 2025 filing data: Item 11 disclosure answers changed: 2 yes answers, previously 3 (now yes: 11.H(1)(c); now no: 11.G, 11.H(2))."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 589017.0,
      "total_employees": 2,
      "filing_date": "2021-08-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 516573.0,
      "total_employees": 2,
      "filing_date": "2022-02-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 529368.0,
      "total_employees": 2,
      "filing_date": "2023-06-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 460642.0,
      "total_employees": 2,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 475478.0,
      "total_employees": 2,
      "filing_date": "2025-03-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 433140.0,
      "total_employees": 2,
      "filing_date": "2026-03-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 2 yes answers, previously 3 (now yes: 11.H(1)(c); now no: 11.G, 11.H(2))."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/pinnacle-advisors-llc-east-syracuse-ny-107275.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 433140.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107275",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}