Pinnacle Investments provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars. Financial planning was provided to 101–250 clients last fiscal year.
Pinnacle Investments reports 3,143 clients. They include 3,133 individual clients, 8 high-net-worth individuals, and 2 corporations and other businesses. Of its assets, 98.7% ($1.28B across 3,107 accounts) are managed with discretion; $16.3M across 36 accounts are not. A wrap fee program the firm both sponsors and manages holds $82M. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 100% | 90% |
| High-net-worth individuals | <1% | 9% |
| Corporations and other businesses | <1% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 3,133 | $1.16B | 89.9% | $371K |
| High-net-worth individuals | 8 | $113M | 8.7% | $14.1M |
| Corporations and other businesses | Fewer than 5 | $17.6M | 1.4% | $8.79M |
| Total | 3,143 | $1.29B | 100% | — |
- Clients
- 3,133
- Regulatory AUM
- $1.16B
- AUM share
- 89.9%
- Avg. per client
- $371K
- Clients
- 8
- Regulatory AUM
- $113M
- AUM share
- 8.7%
- Avg. per client
- $14.1M
- Clients
- Fewer than 5
- Regulatory AUM
- $17.6M
- AUM share
- 1.4%
- Avg. per client
- $8.79M
Total
- Clients
- 3,143
- Regulatory AUM
- $1.29B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Pinnacle Investments charges 3.00% a year for its AdvisorPro; its fees and minimums are set out in its brochures on the SEC website.
Pinnacle Holding Co, LLC owns 75% or more of Pinnacle Investments. Benjamin Ryan Quilty is CEO; the leadership team includes Chief Compliance Officer John Michael Ivan. It has 60 employees, 55 of them in advisory roles.
Leadership
- Benjamin Ryan QuiltyChief Executive Officer
- John Michael IvanChief Compliance Officer
- Kenneth Ronald GeorgeFINOP
- Eric Douglas KrouseCOO / Options Principal
Investment adviser representatives
56 representatives listed in the SEC register as of 9 October 2026.
- Bridget Rose Ball
- Raymond S. Beck
- Robert Steven Beck
- John Vincent Bianchini
- Michele Lee Brisson
- John Buss
- William F Callahan IV
- Timothy Corey Carr
- Stephen Yen Ling Chow
- Robert Frank Cuculich
- Carol Jeanine Darby
- Stephanie Elizabeth Day
- Paul Robert Dipietro
- Michael R Figler
- Jonathan Morris Fox
- Jean Marie Furgiuele
- Brendan Ryan Gallagher
- Steven Georgopoulos
- Dana Thomas Greene
- Timothy Clair Hardy
- Kathleen Knaul Hierholzer
- Christine Tracey Julka
- Brandon Romano Kidd
- Carly Romano Kidd
- Jeremy Romano Kidd
- Joshua Robert Kimber
- Eric Krouse
- Timothy Lane
- Joshua Leana
- James Daniel McQuiggan
- John Robert Miller
- Daniel Patrick Mody
- Michael William Monashefsky
- Colin Nardella
- Mark Thomas Nardella
- Robert Lynn Nicholas
- Joseph O'Connor
- Roland Lucien Ouimet JR
- Daniel Maury Posniak
- Benjamin Ryan Quilty
- Daniel Francis Raite
- Joseph John Saya
- Rosalie Schlaen
- Brian Michael Schultz
- Eileen Lessun Sienkiewicz
- Joseph C Silino
- Brian David Snyder
- James St. Leger
- Margot Agnes Stotler
- Kevin Szozda
- Thomas John Thompson
- Dario Joseph Vacco
- Brian George Vanhouwe
- William A Ward
- Bailey Alan Wilkinson
- Janet Claire Zane
Staff
- 60 employees
- 55 in advisory functions
- 55 state-registered reps
- 60 broker-dealer reps
- 38 insurance agents
- Owns 75% or more of Pinnacle Investments, LLC
Pinnacle Holding Co, LLC
Control person · since November 2006
- Owns 75% or more of Pinnacle Investments, LLC
Fkapi, Inc
since April 2007
Gregg Anthony Kidd
Shareholder · Control person · since November 2006
Daniel Francis Raite
Shareholder · Control person · since November 2006
Pinnacle Investments’ regulatory assets grew 1.6× from $815M (May 2021) to $1.29B (September 2026); clients rose from 2,059 to 3,143 and employees from 51 to 60.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $1.29B | 3,143 | 60 | 14 |
| May 2025 | $1.06B | 1,961 | 60 | 14 |
| March 2024 | $965M | 1,558 | 61 | 15 |
| July 2023 | $848M | 1,840 | 61 | 15 |
| May 2022 | $878M | 2,438 | 51 | 12 |
| May 2021 | $815M | 2,059 | 51 | 11 |
Besides its headquarters, Pinnacle Investments has 13 offices (2 private residences, listed without an address), with 12 listed addresses across 5 states.
New York · 6 listed addresses
- 5845 Widewaters Pkwy, Ste 300, East SyracuseHQ
- 6320 Fly RD, East Syracuse
- 132 North Street, Auburn
- 531 Oak St, Syracuse
- 125 Wolf Road, Albany
- 5500 Main St, Williamsville
Florida · 3 listed addresses
- 20801 Biscayne BLVD, Miami
- 19877 Markward Xing, Estero
- 7601 North Federal Highway, Boca Raton
Massachusetts · 1 listed address
- One Centre St, Malden
New Jersey · 1 listed address
- 89 Headquarters Plaza, Morristown
Pennsylvania · 1 listed address
- 1515 Market St, Philadelphia
Contact and registration details
- Legal name
- Pinnacle Investments, LLC
- Headquarters
- 5845 Widewaters Pkwy, Ste 300, East Syracuse, NY 13057
- Website
- pinnacleinvestments.com
- Phone
- 315-251-1101
- @pinnacle-investments-llc
- SEC file
- 801-67860
- Structure
- New York LLC
- Fiscal year end
- December
Pinnacle Investments uses Wells Fargo Clearing Services ($815M, 77%) and Charles Schwab ($237M, 23%) as custodians for its separately managed accounts. Pinnacle Investments has custody of $1.29B in client assets for 3,143 clients.
- Wells Fargo Clearing ServicesWells Fargo Clearing Services, LLC · St. Louis, MO · $815M77%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $237M23%
At year end, Pinnacle Investments’ separately managed accounts were mostly in stocks (65%) and funds (23%).
What the accounts hold
- Stocks65%
- Exchange-traded equities33%
- Non-exchange-traded equities32%
- Funds23%
- Bonds6%
- U.S. government and agency bonds2%
- State and local bonds2%
- Investment grade corporate bonds2%
- Cash6%
- Other1%
- Collateralized debt obligations, annuities, preferred bonds, reits, unit investment trusts and master limited partnerships1%
How many clients does Pinnacle Investments have?
Pinnacle Investments has 3,143 clients and manages $1.29 billion for them, as of September 2026. They include 3,133 individual clients, 8 high-net-worth individuals, and 2 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 September 2026
What services does Pinnacle Investments offer?
Pinnacle Investments provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Pinnacle Investments charge?
Pinnacle Investments charges 3.00% a year for its AdvisorPro.
Source: 2024.09.30 PI-IA FIRM BROCHURE, filed 13 October 2026
Which custodians does Pinnacle Investments use?
Pinnacle Investments’ separately managed account assets are held at Wells Fargo Clearing Services, LLC (St. Louis, MO), with $815M and Charles Schwab & Co., Inc. (San Francisco, CA), with $237M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 September 2026
How many financial advisors does Pinnacle Investments have?
Pinnacle Investments has 55 investment adviser representatives registered with state securities authorities, out of 60 employees, and 55 perform investment advisory functions. 60 employees are registered representatives of a broker-dealer and 38 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Pinnacle Investments invest in?
At the end of its last fiscal year, Pinnacle Investments’ separately managed accounts held 33% exchange-traded equities, 32% non-exchange-traded equities, 23% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 2% U.S. government and agency bonds, 2% state and local bonds, 2% investment grade corporate bonds and 1% other. The 1% other category is described as: Collateralized Debt Obligations, Annuities, Preferred Bonds, Reits, Unit Investment Trusts and Master Limited Partnerships.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Pinnacle Investments?
Pinnacle Investments’ direct owners are Pinnacle Holding Co, LLC (75% or more) and Fkapi, Inc (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 September 2026
How does Pinnacle Investments get paid?
Pinnacle Investments is paid through a percentage of assets under management, hourly charges and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Pinnacle Investments registered with the SEC?
Yes, Pinnacle Investments has been registered with the SEC as an investment adviser since 18 May 2007. Its CRD number is 142910 and its SEC file number is 801-67860.
Source: Form ADV Part 1A, Item 1, filed 30 September 2026; IAPD firm record
How do I contact Pinnacle Investments?
Pinnacle Investments’ main office is at 5845 Widewaters Pkwy, Ste 300, East Syracuse, NY 13057. Its phone number is 315-251-1101. Its website is pinnacleinvestments.com.