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PINNACLE ASSOCIATES, LTD.
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% .  
 
PINNACLE ASSOCIATES, LTD. also reported in Mar 2019
  • 55 employees, with 27 performing advisory functions.
  • A total of 6 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
PINNACLE ASSOCIATES, LTD. has no disclosure events reported to the SEC at this time.
 

View PINNACLE ASSOCIATES, LTD.'s most recent Form ADV filing
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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


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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irban43


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