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

PINNACLE WEALTH MANAGEMENT, INC.

CRD 121065

WEST CHESTER, OH

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:b57bf52f-e21a-f9bf-592f-492dfc69a91e

Data as of Jan 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 1
Observed: Mar 20, 2012 to Jan 26, 2021
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Pinnacle Wealth Management, Inc.

Investment consultant · shared crd

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: $503MItem 5.F on the latest filing (2021-01-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $501M
Private client RAUM: $218MderivedItem 5.D individuals plus high net worth individuals
Private client share: 43%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 449
Individual clients: 109
High net worth clients: 90
SEC number: 801-63327
CRD: 121065
Filings on the tape: 17
First filed: Mar 20, 2012
Latest filed: Jan 26, 2021
Organised: Corporation, Ohio

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
BARTON, ANNA, CAROL	VICE PRESIDENT/TREASURER	Na	yes	09/2005	Mar 20, 2012	Jan 26, 2021
BARTON, ANNA, CAROL	VICE PRESIDENT & TREASURER	F	yes	09/2005	Mar 20, 2012	Jan 26, 2021
BRUNS, ANTHONY, JOSEPH	VICE PRESIDENT & SECRETARY	Na	yes	09/2005	Mar 20, 2012	Jan 26, 2021
BRUNS, ANTHONY, JOSEPH	VICE PRESIDENT & SECRETARY	F	yes	09/2005	Mar 20, 2012	Jan 26, 2021
PINNACLE FINANCIAL ADVISORS, LLC	PARENT COMPANY	E	yes	09/2005	Mar 20, 2012	Jan 26, 2021
SIMS, JEFFREY, SCOTT	PRESIDENT, CHIEF COMPLIANCE OFFICER, CEO	Na	yes	08/2000	Mar 20, 2012	Jan 26, 2021
SIMS, JEFFREY, SCOTT	PRESIDENT & CEO	D	yes	09/2005	Mar 20, 2012	Jan 26, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Cincinnati	Oh	United States	4	yes
Columbus	Oh	United States	4	yes
Dayton	Oh	United States	4	yes
Springfield	Oh	United States	4	yes

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
2020	Jan 26, 2021	$503M	$501M	7	6	4	n/a	n/a
2019	Feb 26, 2020	$433M	$432M	7	5	4	n/a	n/a
2018	Feb 5, 2019	$349M	$346M	7	6	4	n/a	n/a
2017	Feb 8, 2018	$363M	$360M	7	6	4	n/a	n/a
2016	Mar 13, 2017	$287M	$285M	7	6	n/a	n/a	n/a
2015	Feb 15, 2016	$267M	$264M	6	5	n/a	n/a	n/a
2014	Mar 9, 2015	$276M	$273M	5	4	n/a	n/a	n/a
2013	Mar 10, 2014	$245M	$242M	6	5	n/a	n/a	n/a
2012	Mar 21, 2013	$203M	$200M	7	5	n/a	n/a	n/a
2011	Mar 20, 2012	$109M	$105M	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
2020	$503M	$433M	16.1%	$363M	11.5%	7	7	4	4

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
Mariner	5	Dec 23, 2021	Oct 1, 2021	WEST CHESTER, OH	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (4)

← BARTON, ANNA, CAROLOwnerVICE PRESIDENT & TREASURER, ownership code F, individual
Mar 20, 2012 to presentfactForm ADV
← SIMS, JEFFREY, SCOTTOwnerPRESIDENT & CEO, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV
← BRUNS, ANTHONY, JOSEPHOwnerVICE PRESIDENT & SECRETARY, ownership code F, individual
Mar 20, 2012 to presentfactForm ADV
← PINNACLE FINANCIAL ADVISORS, LLCOwnerPARENT COMPANY, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV

Registered with (8)

← JEFFREY SCOTT SIMSAdvisorregistration: previous registration
Jun 12, 2001 to Dec 23, 2021factForm ADV
← ANTHONY JOSEPH BRUNSAdvisorregistration: previous registration
Apr 24, 2002 to Dec 23, 2021factForm ADV
← ERIC MICHAEL BOKESCHAdvisorregistration: previous registration
Nov 14, 2019 to Dec 23, 2021factForm ADV
← GEOFFREY GORDON GLAZIERAdvisorregistration: previous registration
Jul 16, 2012 to Dec 23, 2021factForm ADV
← Jordan Curtis NareAdvisorregistration: previous registration
Dec 8, 2020 to Dec 23, 2021factForm ADV
← SARAH MARIE TENHUNDFELDAdvisorregistration: previous registration
Sep 7, 2016 to Jul 23, 2019factForm ADV
← GREGORY DAVID GOODSONAdvisorregistration: previous registration
Jul 25, 2016 to Mar 18, 2019factForm ADV
← ERIK CHRISTOPHER SMITHAdvisorregistration: previous registration
Aug 10, 2015 to Feb 29, 2016factForm ADV

Moved with (1)

→ MARINERRegistered adviser5 advisors, firm absorbed, same day
Dec 23, 2021 to Oct 1, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b57bf52f-e21a-f9bf-592f-492dfc69a91e
First observed: Mar 20, 2012
Last observed: Jan 26, 2021 68 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 WEALTH MANAGEMENT, INC.

CRD 121065

WEST CHESTER, OH

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:b57bf52f-e21a-f9bf-592f-492dfc69a91e

Data as of Jan 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:36 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARTON, ANNA, CAROL

VICE PRESIDENT/TREASURER

yes

09/2005

Mar 20, 2012

Jan 26, 2021

BARTON, ANNA, CAROL

VICE PRESIDENT & TREASURER

yes

09/2005

Mar 20, 2012

Jan 26, 2021

BRUNS, ANTHONY, JOSEPH

VICE PRESIDENT & SECRETARY

yes

09/2005

Mar 20, 2012

Jan 26, 2021

BRUNS, ANTHONY, JOSEPH

VICE PRESIDENT & SECRETARY

yes

09/2005

Mar 20, 2012

Jan 26, 2021

PINNACLE FINANCIAL ADVISORS, LLC

PARENT COMPANY

yes

09/2005

Mar 20, 2012

Jan 26, 2021

SIMS, JEFFREY, SCOTT

PRESIDENT, CHIEF COMPLIANCE OFFICER, CEO

yes

08/2000

Mar 20, 2012

Jan 26, 2021

SIMS, JEFFREY, SCOTT

PRESIDENT & CEO

yes

09/2005

Mar 20, 2012

Jan 26, 2021

City

State

Country

Employees

Also broker-dealer

Cincinnati

United States

yes

Columbus

United States

yes

Dayton

United States

yes

Springfield

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Jan 26, 2021

$503M

$501M

n/a

2019

Feb 26, 2020

$433M

$432M

n/a

2018

Feb 5, 2019

$349M

$346M

n/a

2017

Feb 8, 2018

$363M

$360M

n/a

2016

Mar 13, 2017

$287M

$285M

n/a

2015

Feb 15, 2016

$267M

$264M

n/a

2014

Mar 9, 2015

$276M

$273M

n/a

2013

Mar 10, 2014

$245M

$242M

n/a

2012

Mar 21, 2013

$203M

$200M

n/a

2011

Mar 20, 2012

$109M

$105M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$503M

$433M

16.1%

$363M

11.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Dec 23, 2021

Oct 1, 2021

WEST CHESTER, OH

Firm absorbed

RIA to ibd

100.0%