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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PINNACLE INVESTMENT MANAGEMENT INC

CRD 106222

SIMSBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91e01fc9-ccf8-80cf-20d8-93538a4fb107

Data as of Mar 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Mar 15, 2018
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $192MItem 5.F on the latest filing (2018-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $180M
Private client RAUM: $184MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 690
Individual clients: 154
High net worth clients: 89
SEC number: 801-40420
CRD: 106222
Filings on the tape: 15
First filed: Nov 22, 2011
Latest filed: Mar 15, 2018
Organised: Corporation, Connecticut

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ECKEL, CATHERINE, RUTH	VICE PRESIDENT & SECRETARY	Na	yes	12/1992	Nov 22, 2011	Mar 15, 2018
ECKEL, JOHN, WILLIAM	President	E	yes	11/1991	Nov 22, 2011	Mar 15, 2018
MERCER ADVISORS INC.	PARENT COMPANY	E	yes	12/2017	Jan 5, 2018	Mar 15, 2018
Nelson II, William, Alan	CHIEF COMPLIANCE OFFICER	Na	yes	10/2017	Jan 5, 2018	Mar 15, 2018
FLANAGAN, JOHN, JOSEPH	SENIOR VICE PRESIDENT	Na	no	03/2015	Nov 22, 2011	Mar 15, 2018
GENSTAR CAPITAL	Shareholder	E	no	05/2015	Jan 5, 2018	Mar 15, 2018
LOVELL MINNICK EQUITY PARTNERS III	Shareholder	F	no	08/2016	Jan 5, 2018	Mar 15, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 15, 2018	$192M	$180M	6	3	1	n/a	n/a
2016	Mar 30, 2017	$183M	$172M	6	3	n/a	n/a	n/a
2015	Mar 28, 2016	$171M	$159M	6	3	n/a	n/a	n/a
2014	Mar 30, 2015	$179M	$169M	6	3	n/a	n/a	n/a
2013	Mar 31, 2014	$170M	$162M	6	3	n/a	n/a	n/a
2012	Apr 1, 2013	$142M	$134M	6	3	n/a	n/a	n/a
2011	Feb 3, 2012	$114M	$109M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$192M	$183M	5.2%	$179M	2.3%	6	6	1	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	2	Dec 31, 2018	Feb 20, 2018	SIMSBURY, CT	Team lift out	RIA to RIA	100.0%

Relationships

Owns (3)

← GENSTAR CAPITALOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 5, 2018 to presentfactForm ADV
← FLANAGAN, JOHN, JOSEPHOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← LOVELL MINNICK EQUITY PARTNERS IIIOwnerSHAREHOLDER, ownership code F, domestic entity
Jan 5, 2018 to presentfactForm ADV

Controls (4)

← ECKEL, JOHN, WILLIAMOwnerPRESIDENT, ownership code E, individual
Nov 22, 2011 to presentfactForm ADV
← ECKEL, CATHERINE, RUTHOwnerVICE PRESIDENT & SECRETARY, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← Nelson II, William, AlanOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 5, 2018 to presentfactForm ADV
← MERCER ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Jan 5, 2018 to presentfactForm ADV

Registered with (3)

← John Joseph FlanaganAdvisorregistration: previous registration
Jan 16, 2002 to Dec 31, 2018factForm ADV
← JOHN JAMES SHANLEYAdvisorregistration: previous registration
Aug 4, 2015 to Dec 31, 2018factForm ADV
← JEFFREY PATRICK EUTINGAdvisorregistration: previous registration
Mar 3, 2012 to Feb 10, 2015factForm ADV

Moved with (1)

→ MERCER GLOBAL ADVISORS INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Feb 20, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91e01fc9-ccf8-80cf-20d8-93538a4fb107
First observed: Nov 22, 2011
Last observed: Mar 15, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PINNACLE INVESTMENT MANAGEMENT INC

CRD 106222

SIMSBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91e01fc9-ccf8-80cf-20d8-93538a4fb107

Data as of Mar 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ECKEL, CATHERINE, RUTH

VICE PRESIDENT & SECRETARY

yes

12/1992

Nov 22, 2011

Mar 15, 2018

ECKEL, JOHN, WILLIAM

President

yes

11/1991

Nov 22, 2011

Mar 15, 2018

MERCER ADVISORS INC.

PARENT COMPANY

yes

12/2017

Jan 5, 2018

Mar 15, 2018

Nelson II, William, Alan

CHIEF COMPLIANCE OFFICER

yes

10/2017

Jan 5, 2018

Mar 15, 2018

FLANAGAN, JOHN, JOSEPH

SENIOR VICE PRESIDENT

03/2015

Nov 22, 2011

Mar 15, 2018

GENSTAR CAPITAL

Shareholder

05/2015

Jan 5, 2018

Mar 15, 2018

LOVELL MINNICK EQUITY PARTNERS III

Shareholder

08/2016

Jan 5, 2018

Mar 15, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 15, 2018

$192M

$180M

n/a

2016

Mar 30, 2017

$183M

$172M

n/a

2015

Mar 28, 2016

$171M

$159M

n/a

2014

Mar 30, 2015

$179M

$169M

n/a

2013

Mar 31, 2014

$170M

$162M

n/a

2012

Apr 1, 2013

$142M

$134M

n/a

2011

Feb 3, 2012

$114M

$109M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$192M

$183M

5.2%

$179M

2.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Dec 31, 2018

Feb 20, 2018

SIMSBURY, CT

Team lift out

RIA to RIA

100.0%