# Pinnacle Advisors LLC

> 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.

- CRD: 107275
- Filed as: PINNACLE ADVISORS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: East Syracuse, NY
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/107275
- AdvisorCensus page: https://advisorcensus.com/firm/pinnacle-advisors-llc-east-syracuse-ny-107275

## Quick answers

**How is Pinnacle Advisors LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Pinnacle Advisors LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Pinnacle Advisors LLC located?**
Pinnacle Advisors LLC's principal office is in East Syracuse, NY, according to its Form ADV.

**Is Pinnacle Advisors LLC registered with the SEC or a state?**
Pinnacle Advisors LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 107275.

**How much does Pinnacle Advisors LLC manage?**
Pinnacle Advisors LLC reports $433,140 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary).

**How have Pinnacle Advisors LLC's assets and staff changed since 2021?**
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.

**What types of clients does Pinnacle Advisors LLC serve?**
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).

**Does Pinnacle Advisors LLC report any disciplinary disclosures?**
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

**What changed in Pinnacle Advisors LLC's recent Form ADV filings?**
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)).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $433,140
- Discretionary: $433,140
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $433,140 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 1996 (29 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(5): 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?
- 11.H(1)(c): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107275

### Websites listed on Form ADV (Item 1.I)
- nysafunds.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $589,017 | 2 | August 9, 2021 |
| October 2022 | $516,573 | 2 | February 24, 2022 |
| October 2023 | $529,368 | 2 | June 1, 2023 |
| October 2024 | $460,642 | 2 | March 26, 2024 |
| October 2025 | $475,478 | 2 | March 28, 2025 |
| October 2026 | $433,140 | 2 | March 26, 2026 |

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.

## Changes in the filing (last 12 months)

### December 2025
- Item 11 disclosure answers changed: 2 yes answers, previously 3 (now yes: 11.H(1)(c); now no: 11.G, 11.H(2)).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pinnacle Advisors LLC (CRD 107275): Form ADV filing data as of October 2026.