SourcingSourcing

PINNACLE ASSOCIATES, LTD.

C24
CRD 110631·SEC 801-20841·NEW YORK, NY
AUM
$10.39B
$1B+
Est. Revenue
$103.9M
@ 1% on AUM
Est. EBITDA
$31.2M
@ 30% margin
Est. Deal Value
$249.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PINNACLE ASSOCIATES, LTD.
CRD
110631
SEC file #
801-20841
EIN
000000000
DBA names
Pinnacle Associates InvestmentsPinnacle Associates, Ltd.Pinnacle Associates, Inc. (ny)Pinnacle Associates Ltd. Corp.

Economics

AUM
$10.39B
AUM band
$1B+
AUM trajectory
'20'26
$5.32B → $10.39B▲ +95%
Client mix
Individuals Other1,370
Individuals High Net Worth438
Other432
Corporations52
Pension Profit Sharing Plans29

Operations

Employees (total)
69
Advisory staff (per ADV)
33
Advisory staff (5-yr trend)
'20'26
27 advisors → 33 advisors▲ +22%
Primary office
NEW YORK NY
Branches
Count28

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/26/2026
ADV-W filed at
—
Website
pinnacleinsights.org

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PASSIOS, JOHN, THOMAS
Top Owner Pct
17.5
Top Owner Entity Kind
I
Owner Count
22
Control Persons
PASSIOS, JOHN, THOMAS
PASSIOS, KIMON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
pinnacleinsights.org
Rdap Domain Creation Date
2013-01-24T18:12:51.661Z
Rdap Firm Age Years
13
Rdap Firm Age Band
10-20y
Rdap Registrar
Wild West Domains, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
6
Form 5500 Total Compensation
796,923
Form 5500 Compensation Trajectory 3y
2025796,923
20240
Form 5500 Plan Count Trajectory 3y
20255
20241
Schedule C Total Compensation
796,923
Schedule C Service Provider Rows
6

SEC EDGAR

Edgar Cik
0001108885
Edgar Registered
Yes
Edgar Filing Count
13
Edgar First Filing Date
2013-06-19
Edgar Last Filing Date
2025-05-30
Edgar Form D Count
13
Edgar Form D Offerings
2025-05-302025-05-30 · 0000919574-25-003437
2024-05-312024-05-31 · 0000919574-24-003423

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
33
Bc Firm IAR Count
33
Custodian Candidates
Full
Charles Schwab7
Morgan Stanley5
State Street4
E*trade4
Fidelity2
Edgar Addresses
Mailing
PINNACLE ASSOCIATES, LTD.286 MADISON AVENUE, 20TH FLOORNEW YORK, NY 10017
Business
PINNACLE ASSOCIATES, LTD.286 MADISON AVENUE, 20TH FLOORNEW YORK, NY 10017
Edgar EIN
000000000
Edgar Recent Filings
D/A2025-05-30 · 0000919574-25-003437
D/A2024-05-31 · 0000919574-24-003423
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-24T18:12:51.661Z
Rdap Domain Last Changed
2025-12-30T13:54:48.915Z
Rdap Nameservers
Ns1.wordpress.comNs2.wordpress.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4361196
Trust Company Affiliate
No

People (38)

38
PASSIOS, JOHN, THOMAS
IAR · Direct Owner · 17.5%
4361196
PASSIOS, KIMON
IAR · Direct Owner · 17.5%
2844957
ROOT, SUSAN, LEONDIS
Direct Owner · 17.5%
4361198
FERRARE, JAMES, F
IAR · Direct Owner · 7.5%
1557895
DELFINO, MICHAEL, FRANCIS
IAR · Executive Officer · 2.5%
2478229
FREEDGOOD, ERIC, NOEL
IAR · Executive Officer · 2.5%
5147973
STEIN, HAROLD, WARD
IAR · Executive Officer · 2.5%
2478110
HARRIS, KING, HANFORD
IAR · Executive Officer · 2.5%
851327
MARRON, PETER, NATHAN
IAR · Executive Officer · 2.5%
1283548
DOWD, DONALD, MAURER
IAR · Executive Officer · 2.5%
1870120
BOCOCK, JOHN, HOLMES
IAR · Executive Officer · 2.5%
2856099
PIACENTINI, TIMOTHY, JOSEPH
IAR · Executive Officer · 2.5%
2191886
BROWN, SCOTT, MICHAEL
Executive Officer · 2.5%
5525861
LAGERMASINI, PAUL, JOSEPH
Executive Officer · 2.5%
4304333
SHEA, JOSEPH, WILLIAM
Executive Officer · 2.5%
5763107
HEYMAN, JOEL, MICHAEL
Executive Officer · 2.5%
1542323
MONICA JUDITH JALIFE
IAR
4775856
Max J Schaul
IAR
7884060
Ryan James Byrne
IAR
7884050
REGINALD GEORGE PICKRAL
IAR
4588214
AUSTIN HAGAMAN
IAR
5961221
JOSEPH CORNELIUS GODSEY
IAR
1713214
RYAN ASHLEY FAUSE
IAR
2681929
WILLIAM ERNEST SIZEMORE
IAR
1304864
THOMAS FRIEDICH NEUHAUS
IAR
2661389
Jack Joseph Casey
IAR
8054527
Alexander Smit
IAR
7264831
Mark Nicholas Lucci
IAR
7395576
Ann Goldschmidt Schnorrenberg
IAR
1678943
DAVINO, CARMINE
IAR
2693235
EDGAR NMN PEREZ
IAR
2151600
ALICE ATHANASIOU GABRIELE
IAR
1361688
RICHARD ALAN ROSEN
IAR
1295265
JONATHAN DON MARK
IAR
2160974
THOMAS WILLIAM FARRELL
IAR
3250992
Christopher Cochran
IAR
6424481
AMY L PASTORINO
IAR
5124642
GEORGE JENNINGS MCVEY
IAR
2761754