{ "crd_number": 110631, "slug": "pinnacle-associates-ltd-new-york-ny-110631", "primary_business_name": "PINNACLE ASSOCIATES, LTD.", "legal_name": "PINNACLE ASSOCIATES, LTD.", "dbas": [ "PINNACLE ASSOCIATES INVESTMENTS", "PINNACLE ASSOCIATES LTD (NY)", "PINNACLE ASSOCIATES LTD. CORP.", "PINNACLE ASSOCIATES, INC. (NY)" ], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1984-03-16", "years_registered": 42, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": 10386022125.0, "raum_discretionary": 10383913659.0, "raum_non_discretionary": 2108466.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 69, "advisory_employees": 33, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 2887631159.0, "count": 432, "description": "TRUSTS, FOUNDATIONS, ENDOWMENTS" }, "charitable": { "raum": 1814871.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 1991547920.0, "count": 1370 }, "state_municipal": { "raum": 239972475.0, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 349182730.0, "count": 29 }, "other_investment_advisers": { "raum": 2338353517.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 1907902905.0, "count": 438 }, "pooled_investment_vehicles": { "raum": 185834736.0, "count": 4 }, "corporations_other_businesses": { "raum": 483781812.0, "count": 52 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CT", "DE", "FL", "GA", "IL", "IN", "KY", "LA", "MA", "MD", "ME", "MI", "MO", "NC", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "RI", "SC", "TN", "TX", "UT", "VA", "VT", "WA", "WI" ], "websites": [ "https://pinnacle-associates.com", "https://pinnacle-ny.com", "https://pinnacleinsights.org" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110631", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/pinnacle-associates-ltd-new-york-ny-110631", "display_name": "Pinnacle Associates, Ltd.", "summary": "Pinnacle Associates, Ltd. is an SEC-registered investment advisory firm in New York, NY, registered since 1984, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. Pinnacle Associates, Ltd. (CRD 110631): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Pinnacle Associates, Ltd. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Pinnacle Associates, Ltd. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Pinnacle Associates, Ltd. located?", "a": "Pinnacle Associates, Ltd.'s principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 8 other offices (Schedule D, Section 1.F)." }, { "q": "Is Pinnacle Associates, Ltd. registered with the SEC or a state?", "a": "Pinnacle Associates, Ltd. is an SEC-registered investment advisory firm, registered since 1984. Status as filed: Approved. CRD 110631." }, { "q": "How much does Pinnacle Associates, Ltd. manage?", "a": "Pinnacle Associates, Ltd. reports $10,386,022,125 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary)." }, { "q": "How have Pinnacle Associates, Ltd.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Pinnacle Associates, Ltd.: Regulatory assets under management: $6,657,766,030 in the October 2021 data and $10,386,022,125 in the October 2026 data, up 56%. Total employees: 58 in October 2021 and 69 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Pinnacle Associates, Ltd. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,370); high net worth individuals (438); other (432)." }, { "q": "Which custodians does Pinnacle Associates, Ltd. use?", "a": "Pinnacle Associates, Ltd.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab and Fidelity Investments as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Pinnacle Associates, Ltd. report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110631" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 6657766030.0, "total_employees": 58, "filing_date": "2021-07-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7746705571.0, "total_employees": 61, "filing_date": "2022-09-13" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6594758482.0, "total_employees": 58, "filing_date": "2023-05-16" }, { "period": "2024-10-01", "regulatory_assets_under_management": 8135641729.0, "total_employees": 64, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 9866562515.0, "total_employees": 70, "filing_date": "2025-03-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": 10386022125.0, "total_employees": 69, "filing_date": "2026-03-26" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab", "name_as_filed": "CHARLES SCHWAB", "affiliated": false }, { "name": "Fidelity Investments", "name_as_filed": "FIDELITY INVESTMENTS", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/pinnacle-associates-ltd-new-york-ny-110631.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1370, "fewer_than_5": false, "raum": 1991547920.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 438, "fewer_than_5": false, "raum": 1907902905.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 4, "fewer_than_5": false, "raum": 185834736.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 29, "fewer_than_5": false, "raum": 349182730.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 1814871.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 239972475.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": 2338353517.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 52, "fewer_than_5": false, "raum": 483781812.0 }, { "type": "other", "label": "Other", "count": 432, "fewer_than_5": false, "raum": 2887631159.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/110631", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }