# Pinnacle Investments, LLC

> 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.

- CRD: 142910
- Filed as: PINNACLE INVESTMENTS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: East Syracuse, NY
- Filing period: October 2026
- Form ADV filing dated: September 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/142910
- AdvisorCensus page: https://advisorcensus.com/firm/pinnacle-investments-llc-east-syracuse-ny-142910

## Quick answers

**How is Pinnacle Investments, LLC compensated?**
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.

**Where is Pinnacle Investments, LLC located?**
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).

**Is Pinnacle Investments, LLC registered with the SEC or a state?**
Pinnacle Investments, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 142910.

**How much does Pinnacle Investments, LLC manage?**
Pinnacle Investments, LLC reports $1,293,553,606 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (99% discretionary).

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

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

**Which custodians does Pinnacle Investments, LLC use?**
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.

**Does Pinnacle Investments, LLC report any disciplinary disclosures?**
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

**What changed in Pinnacle Investments, LLC's recent Form ADV filings?**
In the August 2026 filing data: Registered or notice-filed in MT.

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Wells Fargo Clearing Services, LLC

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: $1,293,553,606
- Discretionary: $1,277,282,105
- Non-discretionary: $16,271,501

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 3,133 | $1,163,302,726 |
| High net worth individuals | 8 | $112,671,794 |
| Corporations or other businesses not listed above | 2 | $17,579,086 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2007 (19 years)
- Employees: 60 total, 55 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 4 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.D(1): 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?
- 11.E(2): 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?
- 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/142910

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Albany, NY
- Auburn, NY
- Boca Raton, FL
- East Syracuse, NY
- Estero, FL
- Malden, MA
- Miami, FL
- Morristown, NJ
- Philadelphia, PA
- Syracuse, NY
- Williamsville, NY

### Websites listed on Form ADV (Item 1.I)
- [brandonkiddracing.com/wealth-management](https://brandonkiddracing.com/wealth-management)
- [brendanryangallagher.com](https://brendanryangallagher.com)
- [pinnacleinvestments.com](https://pinnacleinvestments.com)
- [primewealthgroup.com](https://primewealthgroup.com)
- Facebook @pinnacleinvestments
- Instagram @pinnacleinvestmentsllc
- LinkedIn @pinnacle-investments-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $814,708,990 | 51 | September 21, 2021 |
| October 2022 | $877,530,956 | 51 | May 18, 2022 |
| October 2023 | $848,392,653 | 61 | August 11, 2023 |
| October 2024 | $964,888,091 | 61 | March 29, 2024 |
| October 2025 | $1,056,507,711 | 60 | May 30, 2025 |
| October 2026 | $1,293,553,606 | 60 | September 30, 2026 |

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.

## Changes in the filing (last 12 months)

### August 2026
- Registered or notice-filed in MT.

### May 2026
- Item 11 disclosure answers changed: 4 yes answers, previously 5 (now no: 11.G).
- Updated its list of owners and control persons (Schedule A).

### April 2026
- 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).

### February 2026
- Registered or notice-filed in WV.

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pinnacle Investments, LLC (CRD 142910): Form ADV filing data as of October 2026.