Pinnacle Associates, Ltd.

Registered investment adviser · New York, NY · CRD #110631

Form ADV data as of 2026-09-01

Regulatory assets

$10.39 billion

Total accounts

6,766

Employees

Disclosure events

Firm details

Website: http://pinnacleinsights.org/
Telephone: (212) 652-3200
SEC file number: 801-20841
Most recent Form ADV filing: 2026-03-26
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$10.38 billion
Non-discretionary regulatory assets under management	$2.1 million
Total regulatory assets under management	$10.39 billion
Discretionary accounts	6,765
Non-discretionary accounts	1
Total accounts	6,766
Regulatory assets under management attributable to non-U.S. persons	$226.6 million

People

Total employees (excluding clerical)	69
Employees performing investment advisory functions (including research)	33
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	34
Employees registered as IARs for another investment adviser	9
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$3.84 billion
Clients for whom the firm has custody	1,925
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	33

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Affiliated related persons

Other investment adviser (including financial planners)

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	1,370	$1.99 billion
High net worth individuals	438	$1.91 billion
Pooled investment vehicles (other than investment companies and BDCs)	4	$185.8 million
Pension and profit sharing plans (not the participants or government plans)	29	$349.2 million
Charitable organizations	Not reported	$1.8 million
State or municipal government entities (including government pension plans)	Not reported	$240.0 million
Other investment advisers	Not reported	$2.34 billion
Corporations or other businesses not listed above	52	$483.8 million
Other	432	$2.89 billion