PINNACLE ASSOCIATES, LTD.
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PINNACLE ASSOCIATES, LTD.
(CRD# 110631)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 1984.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.3 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
3%
of RAUM.
Non-US investors represent
3%
.
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PINNACLE ASSOCIATES, LTD.
also reported in
Mar 2019
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55
employees,
with
27
performing advisory functions.
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A total of 6 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PINNACLE ASSOCIATES, LTD. has no disclosure events reported to the SEC at this time.
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PINNACLE ASSOCIATES, LTD. has Notice Filings with the following State Securities Authorities:
AZ-Feb 2000, CA-Apr 1992, CT-Dec 1998, DE-Jun 2003, FL-Apr 19
, GA-Sep 1989, IL-Feb 2000, IN-Nov 2001, KY-Dec 2012, LA-Jan 2
, MA-Apr 1994, MD-Feb 2000, ME-Feb 2000, MI-Feb 2000, MO-Nov 2
, NC-Apr 2001, NE-Dec 2012, NH-Feb 2000, NJ-Feb 1991, NM-Jul 2
, NV-Feb 2000, NY-Feb 1984, OH-Nov 2001, OK-Apr 2002, OR-Nov 2
, PA-Nov 2000, RI-Nov 2001, SC-Apr 2001, TN-Dec 2001, TX-Feb 2
, UT-Mar 2019, VA-Jan 2000, VT-Apr 1999, WA-Nov 2001, WI-Nov 2
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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