Pinnacle Investments, LLC

Registered investment adviser · East Syracuse, NY · CRD #142910

Form ADV data as of 2026-09-01

Regulatory assets

$1.29 billion

Total accounts

3,143

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/pinnacle-investments-llc
Telephone: 315-251-1101
SEC file number: 801-67860
Most recent Form ADV filing: 2026-07-16
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
A self-regulatory organization found a violation of its rules
A court dismissed an investment-related civil action under a settlement agreement

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.28 billion
Non-discretionary regulatory assets under management	$16.3 million
Total regulatory assets under management	$1.29 billion
Discretionary accounts	3,107
Non-discretionary accounts	36
Total accounts	3,143
Regulatory assets under management attributable to non-U.S. persons	$13.5 million

People

Total employees (excluding clerical)	60
Employees performing investment advisory functions (including research)	55
Employees who are registered representatives of a broker-dealer	60
Employees registered as investment adviser representatives with a state	55
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	38
Firms or persons who solicit advisory clients on the firm's behalf	0

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	$1.29 billion
Clients for whom the firm has custody	3,143
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$1.29 billion
Clients for whom a related person has custody	3,143
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	1

How the firm is compensated

A percentage of assets under managementHourly chargesOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops

Other business activities

Broker-dealer (registered or unregistered)Registered representative of a broker-dealerInsurance broker or agentOther financial product salesperson

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

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
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	3,133	$1.16 billion
High net worth individuals	8	$112.7 million
Corporations or other businesses not listed above	2	$17.6 million