SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Pinnacle Associates, Ltd.
New York, NY
CRD 110631
Firm filing updated March 26, 2026 ·
- $10.4BAssets
- 33Advisory staff
- 6,766Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,370
- High net worth individuals438
- Corporations or other businesses52
- Pension and profit sharing plans29
- Pooled vehicles4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,370 | $2.0 billion |
| High net worth individuals | 438 | $1.9 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $185.8 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 29 | $349.2 million |
| Charitable organizations | Fewer than 5 clients | $1.8 million |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $240.0 million |
| Other investment advisors | Fewer than 5 clients | $2.3 billion |
| Corporations or other businesses not listed above | 52 | $483.8 million |
| Other: "TRUSTS, FOUNDATIONS, ENDOWMENTS" | 432 | $2.9 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- 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
Assets and accounts
- Regulatory assets$10.4 billion
- Accounts6,766
- Discretionary$10.4 billion · 6,765 accounts
- Non-discretionary$2.1 million · 1 accounts
People
- Employees69
- Advisory staff33
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients101 to 250
Advisors
15 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 110631, SEC file 801-20841.
- Registered with the SEC as an investment advisor (status date on record: March 16, 1984).
Is Pinnacle Associates, Ltd. a fiduciary?
Short answer: Pinnacle Associates, Ltd. is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.