Wealth manager, independent · Rockville Centre, NY
The Pinnacle Financial Group
SEC-registered investment adviser · CRD 164395 · SEC 801-77304
At a glance
The Pinnacle Financial Group is an SEC-registered investment adviser based in Rockville Centre, New York, with $1.4B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 3,150 individual clients, 1,249 of them high-net-worth, holding an average of about $0.4 million each, and 54 employees. That ranks it 802nd among the nation’s 5,657 independent wealth management RIAs and 63rd of 408 in New York. It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Charles Schwab.
Main office 516-763-9700thepinnaclefg.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among independent wealth managers
- #802 of 5,657
- Rank among all SEC RIAs
- #4,479 of 17,210
- Rank in New York
- #63 of 408
- Individual clients
- 3,150
- High-net-worth clients
- 1,249
- Accounts
- 3,729
- Discretionary
- 100% of AUM
- Employees
- 54
- Advisory staff
- 54
- Offices
- 7
Owners and executives on its Form ADV
- Joseph D. EspositoPresident/chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
The Pinnacle Financial Group is a hybrid RIA: 39 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.
In their capacity as registered representatives of LPL Financial, certain Dually Registered Persons may earn commissions for the sale of securities or investment products that they recommend for brokerage clients.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,249 | $949M | 69% |
| Individuals | 1,901 | $352M | 25% |
| Pension and profit sharing plans | 6 | $47M | 3% |
| Corporations or other businesses | 45 | $27M | 2% |
| Charitable organizations | 7 | $8M | <1% |
Disciplinary disclosures
The Pinnacle Financial Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗thepinnaclefg.com ↗
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The full record on The Pinnacle Financial Group
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 2,685 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 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.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Sanderson Wealth Management, LLCBuffalo | $1.4B | 318 |
| Greenline PartnersNew York | $1.4B | 59 |
| Matrix Asset Advisors IncWhite Plains | $1.4B | 607 |
| Next Level Private LLCHarrison | $1.4B | 799 |
| Hollow Brook Wealth Management LLCKatonah | $1.4B | 549 |
| Sgroi Wealth Advisory Group LLCWest Seneca | $1.4B | 7,647 |
Background
Questions
How much does The Pinnacle Financial Group manage?
The Pinnacle Financial Group reports $1.4B in regulatory assets under management across 3,729 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does The Pinnacle Financial Group have?
It reports 3,150 individual clients: 1,249 high-net-worth individuals and 1,901 other individuals. Individuals account for about 94% of its regulatory assets.
Where is The Pinnacle Financial Group headquartered?
Its main office is in Rockville Centre, New York. It reports 7 offices in total and 54 employees, 54 of whom perform investment advisory functions.
How does The Pinnacle Financial Group charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does The Pinnacle Financial Group use?
It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Charles Schwab. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: LPL Financial ($1.0B); Charles Schwab ($32M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is The Pinnacle Financial Group a hybrid RIA with a broker-dealer?
The Pinnacle Financial Group is a hybrid RIA: 39 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is The Pinnacle Financial Group a fiduciary?
As an SEC-registered investment adviser, The Pinnacle Financial Group owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 39 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is The Pinnacle Financial Group’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 (2026-03-30), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →