{ "crd_number": 142910, "slug": "pinnacle-investments-llc-east-syracuse-ny-142910", "primary_business_name": "PINNACLE INVESTMENTS, LLC", "legal_name": "PINNACLE INVESTMENTS, 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": "2007-05-18", "years_registered": 19, "period": "2026-10-01", "filing_date": "2026-09-30", "carried_forward": false, "raum_total": 1293553606.0, "raum_discretionary": 1277282105.0, "raum_non_discretionary": 16271501.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 60, "advisory_employees": 55, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 1163302726.0, "count": 3133 }, "high_net_worth_individuals": { "raum": 112671794.0, "count": 8 }, "corporations_other_businesses": { "raum": 17579086.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "hourly", "other", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 4, "states_registered": [ "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MT", "NC", "ND", "NH", "NJ", "NV", "NY", "OH", "OR", "PA", "RI", "SC", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV" ], "websites": [ "https://brandonkiddracing.com/wealth-management", "https://brendanryangallagher.com", "https://facebook.com/pinnacleinvestments", "https://instagram.com/pinnacleinvestmentsllc", "https://linkedin.com/company/pinnacle-investments-llc", "https://pinnacleinvestments.com", "https://primewealthgroup.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/142910", "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.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "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-investments-llc-east-syracuse-ny-142910", "display_name": "Pinnacle Investments, LLC", "summary": "Pinnacle Investments, LLC is an SEC-registered investment advisory firm in East Syracuse, NY, registered since 2007, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.", "citation": "AdvisorCensus. Pinnacle Investments, LLC (CRD 142910): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Pinnacle Investments, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Pinnacle Investments, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Pinnacle Investments, LLC located?", "a": "Pinnacle Investments, LLC's principal office is in East Syracuse, NY, according to its Form ADV; the October 2026 filing also lists 11 other offices (Schedule D, Section 1.F)." }, { "q": "Is Pinnacle Investments, LLC registered with the SEC or a state?", "a": "Pinnacle Investments, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 142910." }, { "q": "How much does Pinnacle Investments, LLC manage?", "a": "Pinnacle Investments, LLC reports $1,293,553,606 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (99% discretionary)." }, { "q": "How have Pinnacle Investments, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Pinnacle Investments, LLC: Regulatory assets under management: $814,708,990 in the October 2021 data and $1,293,553,606 in the October 2026 data, up 59%. Total employees: 51 in October 2021 and 60 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Pinnacle Investments, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (3,133); high net worth individuals (8); corporations or other businesses not listed above (2)." }, { "q": "Which custodians does Pinnacle Investments, LLC use?", "a": "Pinnacle Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Wells Fargo Clearing Services, LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Pinnacle Investments, LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.E(2) (self-regulatory organization's finding of a rule violation), 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/142910" }, { "q": "What changed in Pinnacle Investments, LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Registered or notice-filed in MT." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 814708990.0, "total_employees": 51, "filing_date": "2021-09-21" }, { "period": "2022-10-01", "regulatory_assets_under_management": 877530956.0, "total_employees": 51, "filing_date": "2022-05-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 848392653.0, "total_employees": 61, "filing_date": "2023-08-11" }, { "period": "2024-10-01", "regulatory_assets_under_management": 964888091.0, "total_employees": 61, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1056507711.0, "total_employees": 60, "filing_date": "2025-05-30" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1293553606.0, "total_employees": 60, "filing_date": "2026-09-30" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Registered or notice-filed in MT." ] }, { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Item 11 disclosure answers changed: 4 yes answers, previously 5 (now no: 11.G).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Item 11 disclosure answers changed: 5 yes answers, previously 4 (now yes: 11.D(1)).", "Employees performing advisory functions went from 50 to 55.", "Regulatory assets under management went from $1,056,507,711 to $1,293,553,606 (+22%).", "Changed its office addresses in Auburn, NY.", "Changed its office addresses in Morristown, NJ.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Registered or notice-filed in WV." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Its Item 11 disclosure answers changed (now yes: 11.H(1)(c); now no: 11.H(2))." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Wells Fargo Clearing Services, LLC", "name_as_filed": "WELLS FARGO CLEARING SERVICES, LLC", "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-investments-llc-east-syracuse-ny-142910.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 3133, "fewer_than_5": false, "raum": 1163302726.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 8, "fewer_than_5": false, "raum": 112671794.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": true, "raum": 17579086.0 } ], "disclosure_line": "Reports 4 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/142910", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }