DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

PINNACLE INVESTMENT MANAGEMENT LIMITED

CRD 298541

SYDNEY, NEW SOUTH WALES

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:e27f144c-5687-c542-8bac-fb4643888fdf

Data as of Oct 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: May 24, 2019 to Oct 8, 2019
3 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: $38BItem 5.F on the latest filing (2019-10-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $38B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 70
Advisory employees: 10
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 13
SEC number: 801-116850
CRD: 298541
Filings on the tape: 3
First filed: May 24, 2019
Latest filed: Oct 8, 2019
Organised: Other (specify)

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
Chambers, Andrew, Chisholm	EXECUTIVE DIRECTOR, INSTITUTIONAL DISTRIBUTION	Na	yes	08/2016	May 24, 2019	Oct 8, 2019
IHLENFELDT, ALEX, NMN	CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER	Na	yes	02/2011	May 24, 2019	Oct 8, 2019
KWOK, CALVIN, NMN	CHIEF LEGAL, RISK AND COMPLIANCE OFFICER	Na	yes	01/2018	May 24, 2019	Oct 8, 2019
MACOUN, IAN, NMN	MANAGING DIRECTOR	Na	yes	08/2006	May 24, 2019	Oct 8, 2019
PINNACLE INVESTMENT MANAGEMENT GROUP LIMITED	Shareholder	E	yes	06/2004	May 24, 2019	Oct 8, 2019
WHITTINGHAM, ADRIAN, BATHURST	EXECUTIVE DIRECTOR, RETAIL DISTRIBUTION	Na	yes	08/2016	May 24, 2019	Oct 8, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ANTIPODES PARTNERS LIMITED	n/a	Asset manager	$14B	N	no	n/a
HYPERION ASSET MANAGEMENT LIMITED	n/a	Other adviser	$11B	N	no	n/a
RESOLUTION CAPITAL LIMITED	n/a	Other adviser	$9.4B	N	no	n/a
RESOLUTION CAPITAL (US) LIMITED	n/a	Other adviser	$2.3B	N	no	n/a
CURVE INVESTMENT MANAGEMENT PTY LIMITED	n/a	n/a	n/a	N	no	n/a
FIRETRAIL INVESTMENTS PTY LIMITED	n/a	n/a	n/a	N	no	n/a
LONGWAVE CAPITAL PARTNERS PTY LIMITED	n/a	n/a	n/a	N	no	n/a
METRICS CREDIT PARTNERS PTY LIMITED	n/a	n/a	n/a	N	no	n/a
OMEGA GLOBAL INVESTORS PTY LTD	n/a	n/a	n/a	N	no	n/a
PALISADE INVESTMENT PARTNERS LIMITED	n/a	n/a	n/a	N	no	n/a
PINNACLE FUND SERVICES LIMITED	n/a	n/a	n/a	Y	yes	n/a
PINNACLE INVESTMENT MANAGEMENT (UK) LIMITED	n/a	n/a	n/a	Y	yes	n/a
PINNACLE RE SERVICES LIMITED	n/a	n/a	n/a	Y	yes	n/a
PLATO INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	no	n/a
RIPARIAN CAPITAL PARTNERS PTY LIMITED	n/a	n/a	n/a	N	no	n/a
SOLARIS INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	no	n/a
SPHERIA ASSET MANAGEMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	no	n/a
TWO TREES INVESTMENT MANAGEMENT PTY LIMITED	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	2	no
Melbourne	n/a	Australia	1	no
Brisbane	n/a	Australia	0	no

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
2019	Oct 8, 2019	$38B	$38B	70	10	3	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
2019	$38B	n/a	n/a	n/a	n/a	70	n/a	3	n/a

Relationships

Affiliated with (4)

→ RESOLUTION CAPITAL LIMITEDRegistered adviserother investment adviser
factForm ADV
→ H.A.M.LRegistered adviserother investment adviser
factForm ADV
→ RESOLUTION CAPITAL (US) LIMITEDRegistered adviserother investment adviser
factForm ADV
→ ANTIPODES PARTNERS LIMITEDRegistered adviserother investment adviser
factForm ADV

Controls (6)

← MACOUN, IAN, NMNOwnerMANAGING DIRECTOR, ownership code NA, individual
May 24, 2019 to presentfactForm ADV
← WHITTINGHAM, ADRIAN, BATHURSTOwnerEXECUTIVE DIRECTOR, RETAIL DISTRIBUTION, ownership code NA, individual
May 24, 2019 to presentfactForm ADV
← KWOK, CALVIN, NMNOwnerCHIEF LEGAL, RISK AND COMPLIANCE OFFICER, ownership code NA, individual
May 24, 2019 to presentfactForm ADV
← Chambers, Andrew, ChisholmOwnerEXECUTIVE DIRECTOR, INSTITUTIONAL DISTRIBUTION, ownership code NA, individual
May 24, 2019 to presentfactForm ADV
← IHLENFELDT, ALEX, NMNOwnerCHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, ownership code NA, individual
May 24, 2019 to presentfactForm ADV
← PINNACLE INVESTMENT MANAGEMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
May 24, 2019 to presentfactForm ADV

Dated events

Occurred
Oct 8, 2019
Regulatory AUM changed
Pinnacle Investment Management Limited reported RAUM $38.1B, up 31% from $29.1B (2019-06-13 to 2019-10-08)
Form ADVobserved 4 days ago
$9.0B
Occurred
Oct 8, 2019
Control person left
Alexander Thomas O'Callaghan (Chief Risk & Compliance Officer) no longer on Schedule A of Pinnacle Investment Management Limited (listed 2019-06-13, absent 2019-10-08)
Form ADVobserved 4 days ago
Occurred
May 24, 2019
First Form ADV filing
Pinnacle Investment Management Limited filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e27f144c-5687-c542-8bac-fb4643888fdf
First observed: May 24, 2019
Last observed: Oct 8, 2019 84 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 LIMITED

CRD 298541

SYDNEY, NEW SOUTH WALES

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:e27f144c-5687-c542-8bac-fb4643888fdf

Data as of Oct 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Chambers, Andrew, Chisholm

EXECUTIVE DIRECTOR, INSTITUTIONAL DISTRIBUTION

yes

08/2016

May 24, 2019

Oct 8, 2019

IHLENFELDT, ALEX, NMN

CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER

yes

02/2011

May 24, 2019

Oct 8, 2019

KWOK, CALVIN, NMN

CHIEF LEGAL, RISK AND COMPLIANCE OFFICER

yes

01/2018

May 24, 2019

Oct 8, 2019

MACOUN, IAN, NMN

MANAGING DIRECTOR

yes

08/2006

May 24, 2019

Oct 8, 2019

PINNACLE INVESTMENT MANAGEMENT GROUP LIMITED

Shareholder

yes

06/2004

May 24, 2019

Oct 8, 2019

WHITTINGHAM, ADRIAN, BATHURST

EXECUTIVE DIRECTOR, RETAIL DISTRIBUTION

yes

08/2016

May 24, 2019

Oct 8, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ANTIPODES PARTNERS LIMITED

n/a

Asset manager

$14B

n/a

HYPERION ASSET MANAGEMENT LIMITED

n/a

Other adviser

$11B

n/a

RESOLUTION CAPITAL LIMITED

n/a

Other adviser

$9.4B

n/a

RESOLUTION CAPITAL (US) LIMITED

n/a

Other adviser

$2.3B

n/a

CURVE INVESTMENT MANAGEMENT PTY LIMITED

n/a

FIRETRAIL INVESTMENTS PTY LIMITED

n/a

LONGWAVE CAPITAL PARTNERS PTY LIMITED

n/a

METRICS CREDIT PARTNERS PTY LIMITED

n/a

OMEGA GLOBAL INVESTORS PTY LTD

n/a

PALISADE INVESTMENT PARTNERS LIMITED

n/a

PINNACLE FUND SERVICES LIMITED

n/a

yes

n/a

PINNACLE INVESTMENT MANAGEMENT (UK) LIMITED

n/a

yes

n/a

PINNACLE RE SERVICES LIMITED

n/a

yes

n/a

PLATO INVESTMENT MANAGEMENT LIMITED

n/a

RIPARIAN CAPITAL PARTNERS PTY LIMITED

n/a

SOLARIS INVESTMENT MANAGEMENT LIMITED

n/a

SPHERIA ASSET MANAGEMENT MANAGEMENT LIMITED

n/a

TWO TREES INVESTMENT MANAGEMENT PTY LIMITED

n/a

City

State

Country

Employees

Also broker-dealer

London

n/a

United Kingdom

Melbourne

n/a

Australia

Brisbane

n/a

Australia

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Oct 8, 2019

$38B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$38B

n/a