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.
SEC-registered adviser
Pinnacle Associates, Ltd.
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Mar 16, 1984
RAUM
$10B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$3.9B individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$315M
derived; firm RAUM over IAPD count
Employees
69
33 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
4
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$10B as of Mar 26, 2026
Mar 30, 2012$4.6B then
HNW client RAUM$1.9B as of Mar 26, 2026
Mar 29, 2018$1.6B then
State-registered IARs (5.B.3)34 as of Mar 26, 2026
Mar 28, 201311 then
Employees (5.A)69 as of Mar 26, 2026
Mar 28, 201350 then
Private funds4 as of Mar 26, 2026
Mar 30, 20126 then
RAUM +5.3% over the last fiscal year+16% a year over threeIARs 29 to 34
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $315MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 3.7derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.8B, 1,925 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.3B31%
- Individuals$2.0B27%
- High-net-worth individuals$1.9B25%
- Corporations and businesses$484M6.5%
- Pension and profit-sharing plans$349M4.7%
- State and municipal entities$240M3.2%
- Pooled investment vehicles$186M2.5%
- Charitable organizations$1.8M0.0%
- Individual clients
- 1,370reported
- HNW clients
- 438reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 6,766reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $7.1M managedreported
- Custody of client assets
- $3.8B for 1,925 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.38 fund_share=0.24 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
33 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Carmine Nmn D'AvinoCertified Financial Planner | Red Bank, Nj | Jun 26, 2002 | 26 y | 0 |
| James F FerrareChartered Financial Analyst | New York, Ny | Jul 23, 2002 | 27 y | 0 |
| Ryan Ashley Fause | Redbank, Nj | Oct 28, 2002 | 30 y | 0 |
| Harold Ward Stein | Tarrytown, Ny | May 4, 2004 | 31 y | 0 |
| Peter Nathan MarronChartered Financial Analyst | New York, Ny | May 26, 2006 | 42 y | 0 |
| Eric Noel FreedgoodChartered Financial Analyst | New York, Ny | Nov 17, 2006 | 20 y | 0 |
| Alice Athanasiou Gabriele | New York, Ny | Feb 15, 2007 | 25 y | 1 |
| Monica Judith JalifeCertified Financial Planner, Chartered Financial Analyst | Red Bank, Nj | Sep 15, 2011 | 24 y | 0 |
| Austin HagamanCertified Financial Planner, Chartered Financial Analyst | Red Bank, Nj | Jan 28, 2013 | 15 y | 1 |
| Timothy Joseph PiacentiniChartered Financial Analyst | New York, Ny | Jan 30, 2014 | 34 y | 1 |
| Jonathan Don Mark | Westport, Ct | Jan 31, 2014 | 34 y | 0 |
| Kimon Passios | New York, Ny | Feb 11, 2014 | 30 y | 0 |
| John Thomas Passios | Westport, Ct | Feb 25, 2014 | 40 y | 0 |
| Thomas William FarrellCertified Financial Planner | Red Bank, Nj | Apr 23, 2015 | 27 y | 1 |
| Richard Alan RosenChartered Financial Analyst | New York, Ny | Jul 24, 2018 | 33 y | 3 |
| Ann Goldschmidt SchnorrenbergCertified Financial Planner | Tysons, Va | Jun 19, 2020 | 10 y | 2 |
| Alexander SmitCertified Financial Planner | New York, Ny | Jul 17, 2020 | 9 y | 0 |
| Mark Nicholas LucciCertified Financial Planner | Red Bank, Nj | Jul 9, 2021 | 10 y | 0 |
| King Hanford Harris | New York, Ny | Sep 14, 2021 | 46 y | 0 |
| Michael Francis Delfino | Tarrytown, Ny | Sep 14, 2021 | 21 y | 0 |
| Donald Maurer Dowd | New York, Ny | Sep 14, 2021 | 37 y | 0 |
| John Holmes Bocock | New York, Ny | May 18, 2023 | 29 y | 2 |
| Reginald George Pickral | Richmond, Va | May 18, 2023 | 22 y | 3 |
| George Jennings Mcvey | Richmond, Va | May 18, 2023 | 29 y | 2 |
| Thomas Friedich Neuhaus | Richmond, Va | May 18, 2023 | 30 y | 1 |
| William Ernest Sizemore | New York, Ny | May 18, 2023 | 42 y | 2 |
| Joseph Cornelius Godsey | Richmond, Va | May 18, 2023 | 34 y | 2 |
| Max J SchaulChartered Financial Analyst | New York, Ny | Apr 4, 2024 | 14 y | 0 |
| Ryan James Byrne | New York, Ny | Jun 6, 2024 | 12 y | 0 |
| Amy L PastorinoCertified Financial Planner | New York, Ny | Sep 3, 2024 | 20 y | 5 |
| Jack Joseph Casey | Holmdel, Nj | Jul 17, 2025 | 11 y | 0 |
| Christopher CochranCertified Financial Planner | New York, Ny | Oct 9, 2025 | 11 y | 1 |
| Edgar Nmn Perez | New York, Ny | Dec 23, 2025 | 31 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Adam C Armstrong to Cerity Partners LLCAug 4, 2025 · RIA to RIA
- Austin Hagaman to Withum Wealth ManagementMay 19, 2014 · Other
- Gregg R. Evangelist to Oak Financial Group IncFeb 17, 2010 · Other
- Orton Chen to Wedge Capital Management LlpJun 11, 2009 · Other
- Michael Victor Riccardi to United Asset Strategies Inc.Mar 23, 2009 · Other
- Richard Leroy Sendell to Circle Advisers IncMay 1, 2003 · Other
Joined, latest
- Christopher Cochran from Morgan StanleyOct 9, 2025 · Wirehouse to independent RIA
- Adam C Armstrong from Withum Wealth ManagementDec 5, 2024 · RIA to RIA
- Amy L Pastorino from Morgan StanleySep 3, 2024 · Wirehouse to independent RIA
- William Ernest Sizemore from Investment Management Of Virginia, LLCMay 18, 2023 · RIA to RIA
- Reginald George Pickral from Investment Management Of Virginia, LLCMay 18, 2023 · RIA to RIA
- George Jennings Mcvey from Dynamis Advisors, LLCMay 18, 2023 · Other
- Thomas Friedich Neuhaus from Investment Management Of Virginia, LLCMay 18, 2023 · RIA to RIA
- John Holmes Bocock from Dynamis Advisors, LLCMay 18, 2023 · Other
- Joseph Cornelius Godsey from Investment Management Of Virginia, LLCMay 18, 2023 · RIA to RIA
- Richard Alan Rosen from Satucket Capital Management, LLCJul 24, 2018 · Other
- Timothy Joseph Piacentini from Withum Wealth ManagementJan 30, 2014 · Other
- Gregg R. Evangelist from Baxter Investment ManagementAug 11, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Investment Management Of Virginia, LLCDec 11, 2023 · Richmond, Va · Firm absorbed
- 2 joined from Dynamis Advisors, LLCMay 17, 2016 · Richmond, Va
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pinnacle Equity Fund, L.P. | Other Private Fund | $139M | 99 | Mar 30, 2012 |
| Pinnacle Opportunity Fund, L.P. | Other Private Fund | $21.9M | 48 | Mar 30, 2012 |
| Pinnacle All-Cap Fund, L.P. | Other Private Fund | $14.2M | 4 | Mar 30, 2012 |
| Pinmar Investors, L.P.no longer reported | Hedge Fund | $5.3M | 7 | Mar 30, 2012 |
| Pinnacle International Partners, L.P.no longer reported | Other Private Fund | $2.2M | 11 | Mar 30, 2012 |
| Pinnacle International Small Cap Partners, L.P. | Other Private Fund | $877,843 | 17 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Michael Scott Brown · Presidentcontrolsince 02/2015 · owns less than 5%
- F James Ferrare · Executive Vice Presidentcontrolsince 02/1999 · owns 5% to 10%
- Joseph Paul Lagermasini · Chief Financial Officercontrolsince 11/2018 · owns less than 5%
- Nathan Peter Marron · Executive Vice Presidentcontrolsince 01/1993 · owns less than 5%
- Thomas John Passios · Executive Vice Presidentcontrolsince 06/1986 · owns 10% to 25%
- Kimon Passios · Executive Vice Presidentcontrolsince 05/1996 · owns 10% to 25%
- William Joseph Shea · Chief Compliance Officercontrolsince 04/2018 · owns less than 5%
- Michael Scott Brown · Trusteecontrolsince 01/2022 · owns F of The Article IV Non Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17
- Thomas John Passios · Trusteecontrolsince 07/2021 · owns F of The Article IV Gst Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17
- Thomas John Passios · Trusteecontrolsince 07/2021 · owns F of The Article IV Non Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17
- Holmes John Bocock · Senior Portfolio Managersince 05/2024 · owns less than 5%
- Francis Michael Delfino · Director Of Taft Hartley Servicessince 01/2005 · owns less than 5%
- Maurer Donald Dowd · Vice Presidentsince 10/2006 · owns less than 5%
- Noel Eric Freedgood · Vice Presidentsince 06/2011 · owns less than 5%
- Hanford King Harris · Senior Vice Presidentsince 06/1998 · owns less than 5%
- Michael Joel Heyman · Senior Vice President/Director Of Operationssince 04/1995 · owns less than 5%
- Joseph Timothy Piacentini · Senior Portfolio Managersince 09/2002 · owns less than 5%
- Leondis Susan Root · Senior Account Administratorsince 03/1999 · owns 10% to 25%
- Ward Harold Stein · Senior Portfolio Managersince 02/2003 · owns less than 5%
- Patrice Borgese · Trusteesince 03/2023 · owns F of Andronike L. Passios 2020 Trust
- Andronike Passios · Trusteesince 07/2021 · owns F of The Article IV Gst Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17
- Andronike Passios · Trusteesince 07/2021 · owns F of The Article IV Non Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17
- Leondis Susan Root · Trusteesince 03/2023 · owns F of Andronike L. Passios 2020 Trust
Entity owners
- Andronike L. Passios 2020 Trust · Ownerdirect · owns 10% to 25%
- James Ferrare 2024 Dynasty Trust · Ownerdirect · owns 5% to 10%
- John Passios Dynasty Trust · Ownerdirect · owns 5% to 10%
- Kimon Passios Dynasty Trust · Ownerdirect · owns 5% to 10%
- Susan Root Dynasty Trust · Ownerdirect · owns 5% to 10%
- The Article IV Gst Exempt Marital · Ownerdirect · owns 5% to 10%
- The Article IV Gst Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17 · Ownerdirect · owns 5% to 10%
- The Article IV Non Exempt Marital Trust Ua Thomas Passios Rev Tr Dtd 11-21-17 · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Withum Wealth Managementinvestment advisernRAUM $2.3B
Advisers that list Pinnacle Associates, Ltd. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 33 | 2 | 0 | ||
| Richmond, Va | 6 | 0 | 0 | ||
| Red Bank, Nj | 3 | 0 | 0 | ||
| Westport, Ct | 3 | 0 | 0 | ||
| Redbank, Nj | 2 | 0 | 0 | ||
| Holmdel, Nj | 2 | 0 | 0 | ||
| Tarrytown, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Richmond, VA4 employees
- Woodcliff Lake, NJ3 employees
- Redbank, NJ3 employees
- Westport, CT3 employees
- Charlottesville, VA2 employees
- Tarrytown, NY2 employees
- Holmdel, NJ2 employees
- Charlotte, NC1 employees
- Princeton, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 6,429 to 6,766Mar 20, 2025 to Mar 26, 2026
- Charity clients · 7.0 to unsetMar 20, 2025 to Mar 26, 2026
- Corporate clients · 75 to 52Mar 20, 2025 to Mar 26, 2026
- HNW clients · 489 to 438Mar 20, 2025 to Mar 26, 2026
- Individual clients · 1,433 to 1,370Mar 20, 2025 to Mar 26, 2026
- Pension plan clients · 50 to 29Mar 20, 2025 to Mar 26, 2026
- Assets in custody · $2.5B to $3.8BMar 20, 2025 to Mar 26, 2026
- Employees · 70 to 69Mar 20, 2025 to Mar 26, 2026
- Insurance-licensed employees · 8 to 9Mar 20, 2025 to Mar 26, 2026
- State-registered IARs · 29 to 34Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $9.9B to $10BMar 20, 2025 to Mar 26, 2026
- HNW RAUM · $1.8B to $1.9BMar 20, 2025 to Mar 26, 2026
- Individual RAUM · $1.7B to $2.0BMar 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.9M to $2.1MMar 20, 2025 to Mar 26, 2026
- Pension RAUM · $397M to $349MMar 20, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $145M to $186MMar 20, 2025 to Mar 26, 2026
- RAUM · $9.9B to $10BMar 20, 2025 to Mar 26, 2026
- Wrap assets (manager) · $6.9M to $7.1MMar 20, 2025 to Mar 26, 2026
- Accounts · 6,144 to 6,429Mar 28, 2024 to Mar 20, 2025
- Advisory employees · 29 to 33Mar 28, 2024 to Mar 20, 2025
- Corporate clients · 68 to 75Mar 28, 2024 to Mar 20, 2025
- HNW clients · 509 to 489Mar 28, 2024 to Mar 20, 2025
- Individual clients · 1,382 to 1,433Mar 28, 2024 to Mar 20, 2025
- Pension plan clients · 53 to 50Mar 28, 2024 to Mar 20, 2025
- Pooled vehicle clients · 5 to 4Mar 28, 2024 to Mar 20, 2025
- Assets in custody · $1.1B to $2.5BMar 28, 2024 to Mar 20, 2025
- Employees · 64 to 70Mar 28, 2024 to Mar 20, 2025
- Insurance-licensed employees · 6 to 8Mar 28, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 20, 2025
- State-registered IARs · 25 to 29Mar 28, 2024 to Mar 20, 2025
- Other offices · 9 to 8Mar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $8.1B to $9.9BMar 28, 2024 to Mar 20, 2025
- HNW RAUM · $1.7B to $1.8BMar 28, 2024 to Mar 20, 2025
- Individual RAUM · $1.3B to $1.7BMar 28, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $3.3M to $1.9MMar 28, 2024 to Mar 20, 2025
- Pension RAUM · $465M to $397MMar 28, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $157M to $145MMar 28, 2024 to Mar 20, 2025
- RAUM · $8.1B to $9.9BMar 28, 2024 to Mar 20, 2025
- Wrap assets (manager) · $9.1M to $6.9MMar 28, 2024 to Mar 20, 2025
- Accounts · 5,378 to 6,144May 16, 2023 to Mar 28, 2024
Signals
5 dated events
- Adam C Armstrong left Pinnacle Associates, Ltd. for Cerity Partners Llc (registered 2025-08-06)Aug 4, 2025 · Advisor changed firm · fact
- Investment Management OF Virginia, LLC's advisors moved to Pinnacle Associates, LTD. (Richmond, VA): 4 of 6 registered, on the same dayDec 11, 2023 · Firm absorbed (people side) · derived
- William Joseph Shea (Chief Compliance Officer) appeared on Schedule A of Pinnacle Associates, Ltd.Mar 31, 2021 · Control person joined · fact
- Thomas Passios (President) no longer on Schedule A of Pinnacle Associates, Ltd. (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Joseph Paul Lagermasini (Chief Financial Officer) appeared on Schedule A of Pinnacle Associates, Ltd.Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Pinnacle Associates, Ltd. · Independent Sponsorsshared crd · capital_provider
- Pinnacle Associates, Ltd. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 212-652-3200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-652-3288reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 434-220-0040reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- pinnacle-associates.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (212) 652-3200reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- pinnacle-associates.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pinnacle-associates.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $315Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026