# Pinnacle Associates, Ltd.

> 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.

- CRD: 110631
- Filed as: PINNACLE ASSOCIATES, LTD.
- Also doing business as: PINNACLE ASSOCIATES INVESTMENTS, PINNACLE ASSOCIATES LTD (NY), PINNACLE ASSOCIATES LTD. CORP., PINNACLE ASSOCIATES, INC. (NY)
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110631
- AdvisorCensus page: https://advisorcensus.com/firm/pinnacle-associates-ltd-new-york-ny-110631

## Quick answers

**How is Pinnacle Associates, Ltd. compensated?**
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.

**Where is Pinnacle Associates, Ltd. located?**
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).

**Is Pinnacle Associates, Ltd. registered with the SEC or a state?**
Pinnacle Associates, Ltd. is an SEC-registered investment advisory firm, registered since 1984. Status as filed: Approved. CRD 110631.

**How much does Pinnacle Associates, Ltd. manage?**
Pinnacle Associates, Ltd. reports $10,386,022,125 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary).

**How have Pinnacle Associates, Ltd.'s assets and staff changed since 2021?**
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.

**What types of clients does Pinnacle Associates, Ltd. serve?**
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).

**Which custodians does Pinnacle Associates, Ltd. use?**
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.

**Does Pinnacle Associates, Ltd. report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab
- Fidelity Investments

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.

### Regulatory assets under management (Item 5.F)
- Total: $10,386,022,125
- Discretionary: $10,383,913,659
- Non-discretionary: $2,108,466

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,370 | $1,991,547,920 |
| High net worth individuals | 438 | $1,907,902,905 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $185,834,736 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 29 | $349,182,730 |
| Charitable organizations | Fewer than 5 | $1,814,871 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $239,972,475 |
| Other investment advisers | Fewer than 5 | $2,338,353,517 |
| Corporations or other businesses not listed above | 52 | $483,781,812 |
| Other | 432 | $2,887,631,159 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 1984 (42 years)
- Employees: 69 total, 33 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Charlottesville, VA
- Holmdel, NJ
- Princeton, NJ
- Redbank, NJ
- Richmond, VA
- Tarrytown, NY
- Westport, CT
- Woodcliff Lake, NJ

### Websites listed on Form ADV (Item 1.I)
- pinnacle-associates.com
- pinnacle-ny.com
- pinnacleinsights.org

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $6,657,766,030 | 58 | July 16, 2021 |
| October 2022 | $7,746,705,571 | 61 | September 13, 2022 |
| October 2023 | $6,594,758,482 | 58 | May 16, 2023 |
| October 2024 | $8,135,641,729 | 64 | March 28, 2024 |
| October 2025 | $9,866,562,515 | 70 | March 20, 2025 |
| October 2026 | $10,386,022,125 | 69 | March 26, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pinnacle Associates, Ltd. (CRD 110631): Form ADV filing data as of October 2026.