Broker-dealer firm · East Syracuse, NY
Pinnacle Investments, LLC
SEC-registered investment adviser · CRD 142910 · SEC 801-67860
At a glance
Pinnacle Investments, LLC is an SEC-registered investment adviser based in East Syracuse, New York, with $1.3 billion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is individuals, and it reports 3,141 individual clients. By Form ADV it is a broker-dealer firm, ranked 156th of 391 broker-dealer firms and 4,654th of 17,210 SEC-registered advisers by assets.
Main office 315-251-1101pinnacleinvestments.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among broker-dealer firms
- #156 of 391
- Rank among all SEC RIAs
- #4,654 of 17,210
- Rank in New York
- #1,044 of 2,591
- Individual clients
- 3,141
- High-net-worth clients
- 8
- Accounts
- 3,143
- Discretionary
- 99% of AUM
- Employees
- 60
- Advisory staff
- 55
- Offices
- 14
Owners and executives on its Form ADV
- Kenneth Ronald GeorgeFinop
- Eric Douglas KrouseCOO / Options Principal
- Benjamin R. QuiltyChief Executive Officer
- John M. IvanChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Pinnacle Investments, LLC is a hybrid RIA: 60 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed September 2026) names Pinnacle Investments as the broker-dealer its advisers are registered with.
Participation or Interest in Client Transactions and Personal Trading Individuals associated with Pinnacle Investments may buy or sell securities for their personal accounts identical to or different than those recommended to clients.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 3,133 | $1.2B | 90% |
| High-net-worth individuals | 8 | $113M | 9% |
| Corporations or other businesses | 2 | $18M | 1% |
Disciplinary disclosures
Pinnacle Investments, LLC answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Other
Form ADV and brochures on the SEC’s adviser search ↗pinnacleinvestments.com ↗
AtlasMembers
The full record on Pinnacle Investments, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 116 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pinnacle Investments, LLC manage?
Pinnacle Investments, LLC reports $1.3 billion in regulatory assets under management across 3,143 accounts, 99% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is Pinnacle Investments, LLC?
Pinnacle Investments, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Pinnacle Investments, LLC’s clients?
By assets, its largest client types are individuals ($1.2 billion, 3,133 clients); high-net-worth individuals ($113 million, 8 clients); corporations or other businesses ($18 million, 2 clients).
Does Pinnacle Investments, LLC have any disciplinary history?
Pinnacle Investments, LLC answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Pinnacle Investments, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →