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PINNACLE ASSOCIATES, LTD.
CRD 110631File 801-20841
APPROVED
Retail clients
Custody
Filing as of Mar 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$10.39B
Top 10% of cohort (national)
Discretionary AUM
$10.38B
Non-discretionary $2.1M
Clients
1,893
6,766 accounts
Employees
69
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 16, 1984
- Principal office
- 286 MADISON AVENUE, 20TH FLOOR, NEW YORK, NY, 10017
- Phone
- (212) 652-3200
- Website
- HTTP://WWW.PINNACLE-NY.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $10.39B
- Discretionary AUM
- $10.38B
- Non-discretionary AUM
- $2.1M
- Discretionary accounts
- 6,765
- Non-discretionary accounts
- 1
- Total accounts
- 6,766
- AUM per client
- $5.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 52 | $483.8M |
| Charitable organizations | Fewer than 5 | $1.8M |
| Other investment advisers | Fewer than 5 | $2.34B |
| High net worth individuals | 438 | $1.91B |
| Pooled investment vehicles | 4 | $185.8M |
| Pension and profit sharing plans | 29 | $349.2M |
| State or municipal government entities | Fewer than 5 | $240.0M |
| Individuals (other than high net worth individuals) | 1,370 | $1.99B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 2,325 | 1,893 | decreased by432 |
| Apr 1, 2026 | Employees | 70 | 69 | decreased by1 |
| Apr 1, 2026 | Clients | 2,568 | 2,325 | decreased by243 |
| Apr 1, 2026 | AUM | $9,866,562,515 | $10,386,022,125 | increased by$519,459,610 |
| Apr 1, 2026 | Accounts | 6,429 | 6,766 | increased by337 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 61 | 70 | increased by9 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,651 | 2,568 | decreased by83 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $7,746,705,571 | $9,866,562,515 | increased by$2,119,856,944 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,133 | 6,429 | increased by1,296 |
| Apr 1, 2022 | Employees | 58 | 61 | increased by3 |
| Apr 1, 2022 | Clients | 2,161 | 2,651 | increased by490 |
| Apr 1, 2022 | AUM | $6,657,766,030 | $7,746,705,571 | increased by$1,088,939,541 |
| Apr 1, 2022 | Accounts | 4,604 | 5,133 | increased by529 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PINNACLE ASSOCIATES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PINNACLE ASSOCIATES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.