DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Pinnacle Investment Management Inc

Former SEC-registered adviserSimsbury, ConnecticutCRD 106222SEC 801-40420IAPD
Latest filing Mar 15, 2018
First filing on the tape Nov 22, 2011 · 15 filings
RAUM
$192M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
96%
$184M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$192M as of Mar 15, 2018
Feb 3, 2012$114M then
HNW client RAUM: $141M
State-registered IARs (5.B.3)3 as of Mar 15, 2018
Feb 3, 20120 then
Employees (5.A)6 as of Mar 15, 2018
Apr 1, 20136 then
Private funds: no history
RAUM +5.2% over the last fiscal year+2.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 15, 2018; every figure names its basis
RAUM per advisor
$64.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$278,329derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$141M73%
  • Individuals$43.2M22%
  • Charitable organizations$4.5M2.4%
  • Pension and profit-sharing plans$3.5M1.8%
Individual clients
154reported
HNW clients
89reported
Pension plan clients
3reported
Charitable clients
2reported
Accounts
690reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Ruth Catherine Eckel · Vice President & Secretarycontrol
      since 12/1992 · owns less than 5%
    • William John Eckel · Presidentcontrol
      since 11/1991 · owns 75% or more
    • Alan William Nelson II · Chief Compliance Officercontrol
      since 10/2017 · owns less than 5%
    • Joseph John Flanagan · Senior Vice President
      since 03/2015 · owns less than 5%
    Entity owners
    • Mercer Advisors Inc. · Parent Company
      direct · owns 75% or more
    • Genstar Capital · Shareholder
      indirect · owns 75% or more of Mercer Advisors Inc.
    • Lovell Minnick Equity Partners III · Shareholder
      indirect · owns F of Mercer Advisors Inc.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 716 to 690
      Jan 8, 2018 to Mar 15, 2018
    • Charity clients · unset to 2.0
      Jan 8, 2018 to Mar 15, 2018
    • Corporate clients · unset to 0.0
      Jan 8, 2018 to Mar 15, 2018
    • HNW clients · unset to 89.0
      Jan 8, 2018 to Mar 15, 2018
    • Individual clients · unset to 154.0
      Jan 8, 2018 to Mar 15, 2018
    • Pension plan clients · unset to 3.0
      Jan 8, 2018 to Mar 15, 2018
    • Pooled vehicle clients · unset to 0.0
      Jan 8, 2018 to Mar 15, 2018
    • Discretionary RAUM · $172M to $180M
      Jan 8, 2018 to Mar 15, 2018
    • HNW RAUM · unset to 140855689.0
      Jan 8, 2018 to Mar 15, 2018
    • Individual RAUM · unset to 43165247.0
      Jan 8, 2018 to Mar 15, 2018
    • Non-discretionary RAUM · $10.4M to $11.8M
      Jan 8, 2018 to Mar 15, 2018
    • Pension RAUM · unset to 3481633.0
      Jan 8, 2018 to Mar 15, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jan 8, 2018 to Mar 15, 2018
    • RAUM · $183M to $192M
      Jan 8, 2018 to Mar 15, 2018
    • Other offices · unset to 1.0
      May 1, 2017 to Jan 5, 2018
    • Accounts · 236 to 716
      Mar 28, 2016 to Mar 30, 2017
    • Financial planning clients · 26-50 to 1-10
      Mar 28, 2016 to Mar 30, 2017
    • Discretionary RAUM · $159M to $172M
      Mar 28, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $11.3M to $10.4M
      Mar 28, 2016 to Mar 30, 2017
    • RAUM · $171M to $183M
      Mar 28, 2016 to Mar 30, 2017
    • Accounts · 248 to 236
      Aug 5, 2015 to Mar 28, 2016
    • Discretionary RAUM · $169M to $159M
      Aug 5, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $9.9M to $11.3M
      Aug 5, 2015 to Mar 28, 2016
    • RAUM · $179M to $171M
      Aug 5, 2015 to Mar 28, 2016
    • Accounts · 241 to 248
      Mar 31, 2014 to Mar 30, 2015
    • Discretionary RAUM · $162M to $169M
      Mar 31, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $8.6M to $9.9M
      Mar 31, 2014 to Mar 30, 2015
    • RAUM · $170M to $179M
      Mar 31, 2014 to Mar 30, 2015
    • Accounts · 256 to 241
      Aug 8, 2013 to Mar 31, 2014
    • Advisory activities · 5 to 6
      Aug 8, 2013 to Mar 31, 2014
    • Discretionary RAUM · $134M to $162M
      Aug 8, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $7.8M to $8.6M
      Aug 8, 2013 to Mar 31, 2014
    • RAUM · $142M to $170M
      Aug 8, 2013 to Mar 31, 2014
    • Accounts · 229 to 256
      Feb 3, 2012 to Apr 1, 2013
    • Advisory employees · unset to 3.0
      Feb 3, 2012 to Apr 1, 2013
    • Employees · unset to 6.0
      Feb 3, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 3
      Feb 3, 2012 to Apr 1, 2013
    • Discretionary RAUM · $109M to $134M
      Feb 3, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $5.5M to $7.8M
      Feb 3, 2012 to Apr 1, 2013
    • RAUM · $114M to $142M
      Feb 3, 2012 to Apr 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026