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 Investments, LLC
Latest filing Jul 16, 2026
First filing on the tape Mar 27, 2012 · 68 filings
SEC status approved since May 18, 2007
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
57
registered through the firm on IAPD
RAUM per advisor
$22.7M
derived; firm RAUM over IAPD count
Employees
60
55 advisory (5.B.1)
Offices
13
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$1.3B as of Jul 16, 2026
Mar 27, 2012$69.7M then
HNW client RAUM$113M as of Jul 16, 2026
Mar 29, 2018$55.1M then
State-registered IARs (5.B.3)55 as of Jul 16, 2026
Mar 27, 20120 then
Employees (5.A)60 as of Jul 16, 2026
May 2, 201350 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 56 to 55
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $22.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.1MderivedHNW RAUM over HNW clients
- Average account
- $411,567derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.1derived14 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -1.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +60%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $82.0MreportedItem 5.I
- Custody
- $1.3B, 3,143 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.2B90%
- High-net-worth individuals$113M8.7%
- Corporations and businesses$17.6M1.4%
- Individual clients
- 3,133reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,143reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $72.2M sponsored, $0 managedreported
- Custody of client assets
- $1.3B for 3,143 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=60.0derived
Advisors registered through the firm
57 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bridget Rose Ball | East Syracuse, Ny | Aug 25, 2016 | 25 y | 0 |
| Stephen Yen Ling Chow | East Syracuse, Ny | Oct 7, 2016 | 42 y | 0 |
| Brandon Romano Kidd | East Syracuse, Ny | Nov 8, 2016 | 11 y | 0 |
| Robert Steven BeckCertified Financial Planner | East Syracuse, Ny | Jan 19, 2017 | 35 y | 2 |
| Timothy Corey CarrCertified Financial Planner | Auburn, Ny | Apr 12, 2018 | 13 y | 0 |
| Benjamin Ryan QuiltyCertified Financial Planner | East Syracuse, Ny | Dec 10, 2018 | 18 y | 0 |
| Brendan Ryan GallagherCertified Financial Planner | East Syracuse, Ny | May 2, 2019 | 11 y | 2 |
| Rosalie SchlaenCertified Financial Planner | Miami, Fl | Dec 26, 2019 | 40 y | 3 |
| Brian George Vanhouwe | East Syracuse, Ny | Dec 26, 2019 | 42 y | 4 |
| Jean Marie Furgiuele | East Syracuse, Ny | Dec 18, 2020 | 40 y | 1 |
| Robert Lynn Nicholas | Canton, Oh | Dec 18, 2020 | 21 y | 1 |
| Brian David Snyder | East Syracuse, Ny | Dec 20, 2020 | 27 y | 3 |
| Timothy Lane | Malden, Ma | Jan 12, 2021 | 31 y | 4 |
| Roland Lucien OuimetChartered Financial Consultant | Beverly, Ma | Jan 14, 2021 | 43 y | 1 |
| Joseph O'Connor | East Syracuse, Ny | Feb 22, 2021 | 42 y | 5 |
| Paul Robert DipietroCertified Financial Planner | Boca Raton, Fl | Mar 9, 2021 | 25 y | 2 |
| Margot Agnes Stotler | Auburn, Ny | Mar 22, 2021 | 10 y | 0 |
| Robert Frank Cuculich | East Syracuse, Ny | Apr 12, 2021 | 25 y | 0 |
| Eric Krouse | East Syracuse, Ny | Apr 12, 2021 | 25 y | 0 |
| Carol Jeanine Darby | East Syracuse, Ny | Apr 12, 2021 | 24 y | 1 |
| John Buss | East Syracuse, Ny | Apr 12, 2021 | 14 y | 1 |
| John Robert Miller | Jamesville, Ny | Apr 12, 2021 | 13 y | 3 |
| Stephanie Elizabeth Day | East Syracuse, Ny | Apr 12, 2021 | 12 y | 1 |
| Jeremy Romano Kidd | East Syracuse, Ny | Apr 12, 2021 | 11 y | 0 |
| Dario Joseph Vacco | East Syracuse, Ny | Apr 12, 2021 | 19 y | 0 |
| Daniel Maury Posniak | East Syracuse, Ny | Apr 12, 2021 | 43 y | 0 |
| Thomas John Thompson | East Syracuse, Ny | Apr 12, 2021 | 38 y | 0 |
| Daniel Francis Raite | East Syracuse, Ny | Apr 12, 2021 | 42 y | 0 |
| Daniel Patrick ModyCertified Financial Planner | Manlius, Ny | Apr 12, 2021 | 32 y | 0 |
| Christine Tracey Julka | Jamesville, Ny | Apr 12, 2021 | 23 y | 0 |
| Janet Claire Zane | Auburn, Ny | Apr 12, 2021 | 16 y | 1 |
| Eileen Lessun Sienkiewicz | East Syracuse, Ny | Apr 12, 2021 | 40 y | 0 |
| John Vincent Bianchini | East Syracuse, Ny | Apr 12, 2021 | 39 y | 0 |
| Joseph John Saya | Syracuse, Ny | Apr 12, 2021 | 26 y | 0 |
| Kathleen Knaul Hierholzer | East Syracuse, Ny | Apr 12, 2021 | 25 y | 0 |
| Mark Thomas NardellaCertified Financial Planner | East Syracuse, Ny | Apr 12, 2021 | 29 y | 4 |
| Brian Michael Schultz | East Syracuse, Ny | Apr 12, 2021 | 29 y | 1 |
| James Daniel Mcquiggan | East Syracuse, Ny | Apr 12, 2021 | 27 y | 0 |
| William A Ward | East Syracuse, Ny | May 14, 2021 | 12 y | 2 |
| Joshua Robert KimberCertified Financial Planner | East Syracuse, Ny | Jul 7, 2021 | 10 y | 1 |
Advisor movement
4 left, 5 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 7.0% of current headcount6 left over 36 months
Left, latest
- Andrea Elizabeth Coladarci to Osaic Wealth, Inc.May 4, 2026 · Affiliated broker-dealer or bank to another
- Adam Gartside to Osaic Wealth, Inc.May 4, 2026 · Affiliated broker-dealer or bank to another
- Gabriella M Cahl to Morgan StanleyDec 11, 2025 · Affiliated broker-dealer or bank to wirehouse
- Monica Ann Coles to Thurston Springer AdvisorsSep 23, 2025 · Affiliated broker-dealer or bank to another
- Richard E Prince to Fidelity Personal And Workplace AdvisorsApr 25, 2024 · Affiliated broker-dealer or bank to another
- John David Danzer to Cadaret Grant & Co IncDec 18, 2023 · Affiliated broker-dealer or bank to another
- Jeffrey Hughes Watson to Rialto Wealth ManagementAug 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- John Paul Harmatuk to Decisional Wealth Advisors LLCJun 16, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Brannigan James Judge to Decisional Wealth Advisors LLCJun 16, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Ryan J Nason to Securities America Advisors, Inc.Jun 1, 2022 · RIA to affiliated broker-dealer or bank
- Carly Romano Kidd to Citigroup Global Markets Inc.Aug 8, 2019 · RIA to affiliated broker-dealer or bank
- Keith H Van Etten to John Hancock Investment Management LLCMar 8, 2019 · Other
- Jeffrey David Dzwonkowski to Sagepoint Financial, Inc.Jun 21, 2018 · Affiliated broker-dealer or bank to another
Joined, latest
- Joshua Leana from Equitable Advisors, LLCAug 17, 2026 · Affiliated broker-dealer or bank to another
- Jonathan Morris Fox from Morgan Stanley Dw Inc.Jun 9, 2026 · Other
- Michael R Figler from Morgan Stanley Dw Inc.Jan 10, 2026 · Other
- Dana Thomas Greene from Equitable Advisors, LLCJan 5, 2026 · Affiliated broker-dealer or bank to another
- James St. Leger from Equitable Advisors, LLCDec 15, 2025 · Affiliated broker-dealer or bank to another
- Joseph C Silino from Advice And Planning ServicesNov 2, 2023 · Affiliated broker-dealer or bank to another
- Raymond S. Beck from Morgan StanleyDec 19, 2022 · Wirehouse to independent RIA
- Andrea Elizabeth Coladarci from Valic Financial Advisors, Inc.Apr 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- Adam Gartside from Valic Financial Advisors, Inc.Apr 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- Monica Ann Coles from Cadaret Grant & Co IncFeb 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- John David Danzer from Investment Advisor GroupJan 20, 2022 · RIA to RIA
- Carly Romano Kidd from Citigroup Global Markets Inc.Sep 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- William F Callahan from Ameriprise Financial Services, LLCSep 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Joshua Robert Kimber from Cambridge Investment Research Advisors, Inc.Jul 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- William A Ward from Wells Fargo AdvisorsMay 14, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Osaic Wealth, Inc.May 4, 2026 · East Syracuse, Ny
- 2 joined from Valic Financial Advisors, Inc.Apr 6, 2022 · Berkeley Heights, Nj
- 2 joined from Global Investment Advisors, LLCDec 31, 2019 · Danvers, Ma
- 4 joined from Global Investment Advisors, LLCDec 26, 2019 · Miami Beach, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Eric Douglas Krouse · Coo / Options Principalcontrolsince 03/2011 · owns less than 5%
- Benjamin Ryan Quilty · Chief Executive Officercontrolsince 07/2019 · owns less than 5%
- Gregg Anthony Kidd · Shareholdercontrolsince 11/2006 · owns F of Fkapi, Inc
- Daniel Francis Raite · Shareholdercontrolsince 11/2006 · owns F of Fkapi, Inc
- Monica Ann Coles · Chief Compliance Officersince 10/2022 · owns less than 5%
- Kenneth Ronald George · Finopsince 06/2007 · owns less than 5%
Entity owners
- Pinnacle Holding Co, LLC · Managing Memberdirect · owns 75% or more
- Fkapi, Inc · Shareholderindirect · owns 75% or more of Pinnacle Holding Company, LLC
Related persons
Schedule D 7.A
- Pinnacle Advisors LLCinvestment advisernRAUM $433,140
- Pinnacle Capital Management, LLCinvestment advisernRAUM $300M
Advisers that list Pinnacle Investments, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| East Syracuse, Ny · principal | 56 | 5 | 4 | 1 | |
| Auburn, Ny | 4 | 0 | 0 | ||
| Boca Raton, Fl | 3 | 0 | 0 | ||
| Williamsville, Ny | 3 | 1 | 0 | ||
| Philadelphia, Pa | 2 | 0 | 0 | ||
| Jamesville, Ny | 2 | 0 | 0 | ||
| Syracuse, Ny | 2 | 0 | 0 | ||
| Rochester, Ny | 1 | 1 | 0 | ||
| Eagan, Mn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Auburn, NY7 employees
- Morristown, NJ3 employees
- Albany, NY1 employees
- Williamsville, NY1 employees
- Philadelphia, PA1 employees
- Boca Raton, FL1 employees
- New Bedford, MA1 employees
- , 1 employees
- Malden, MA1 employees
- Miami, FL1 employees
- Estero, FL1 employees
- , 1 employees
- East Syracuse, NY1 employees
- Syracuse, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 1, 2026individual and HNW clients (Item 5.D) moved from 1,958.0 to 3,141.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +9.0% (50 comparable advisers, 94.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 2,860 to 3,143Jan 7, 2026 to Mar 26, 2026
- Advisory employees · 50 to 55Jan 7, 2026 to Mar 26, 2026
- BD registered reps · 56 to 60Jan 7, 2026 to Mar 26, 2026
- Corporate clients · 3 to 2Jan 7, 2026 to Mar 26, 2026
- HNW clients · 10 to 8Jan 7, 2026 to Mar 26, 2026
- Individual clients · 1,948 to 3,133Jan 7, 2026 to Mar 26, 2026
- Assets in custody · $815M to $1.3BJan 7, 2026 to Mar 26, 2026
- Insurance-licensed employees · 10 to 0Jan 7, 2026 to Mar 26, 2026
- State-registered IARs · 56 to 55Jan 7, 2026 to Mar 26, 2026
- Discretionary RAUM · $1.0B to $1.3BJan 7, 2026 to Mar 26, 2026
- HNW RAUM · $99.1M to $113MJan 7, 2026 to Mar 26, 2026
- Individual RAUM · $930M to $1.2BJan 7, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $12.7M to $16.3MJan 7, 2026 to Mar 26, 2026
- RAUM · $1.1B to $1.3BJan 7, 2026 to Mar 26, 2026
- Wrap assets (sponsor) · $60.3M to $72.2MJan 7, 2026 to Mar 26, 2026
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to May 30, 2025
- Accounts · 2,938 to 2,860Jan 21, 2025 to Mar 31, 2025
- Advisory employees · 51 to 50Jan 21, 2025 to Mar 31, 2025
- BD registered reps · 57 to 56Jan 21, 2025 to Mar 31, 2025
- Corporate clients · 2 to 3Jan 21, 2025 to Mar 31, 2025
- HNW clients · 13 to 10Jan 21, 2025 to Mar 31, 2025
- Individual clients · 2,011 to 1,948Jan 21, 2025 to Mar 31, 2025
- Assets in custody · $761M to $815MJan 21, 2025 to Mar 31, 2025
- Employees · 61 to 60Jan 21, 2025 to Mar 31, 2025
- Financial planning clients · 251-500 to 101-250Jan 21, 2025 to Mar 31, 2025
- State-registered IARs · 57 to 56Jan 21, 2025 to Mar 31, 2025
- Other offices · 14 to 13Jan 21, 2025 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.0BJan 21, 2025 to Mar 31, 2025
- HNW RAUM · $116M to $99.1MJan 21, 2025 to Mar 31, 2025
- Individual RAUM · $934M to $930MJan 21, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $12.6M to $12.7MJan 21, 2025 to Mar 31, 2025
- RAUM · $1.1B to $1.1BJan 21, 2025 to Mar 31, 2025
- Wrap assets (sponsor) · $63.6M to $60.3MJan 21, 2025 to Mar 31, 2025
- Accounts · 2,797 to 2,938Oct 15, 2024 to Oct 15, 2024
- HNW clients · 12 to 13Oct 15, 2024 to Oct 15, 2024
- Individual clients · 1,544 to 2,011Oct 15, 2024 to Oct 15, 2024
- Discretionary RAUM · $960M to $1.1BOct 15, 2024 to Oct 15, 2024
- HNW RAUM · $107M to $116MOct 15, 2024 to Oct 15, 2024
- Individual RAUM · $841M to $934MOct 15, 2024 to Oct 15, 2024
- Non-discretionary RAUM · $5.0M to $12.6MOct 15, 2024 to Oct 15, 2024
Signals
18 dated events
- Jonathan Morris Fox added a FL registration at Pinnacle Investments, LlcSep 16, 2026 · New state registration · fact
- Andrea Elizabeth Coladarci left Pinnacle Investments, Llc for Osaic Wealth, Inc. (registered 2026-05-04)May 4, 2026 · Advisor changed firm · fact
- Adam Gartside left Pinnacle Investments, Llc for Osaic Wealth, Inc. (registered 2026-05-04)May 4, 2026 · Advisor changed firm · fact
- 2 advisors left Pinnacle Investments, LLC (East Syracuse, NY) for Osaic Wealth, Inc. on the same dayMay 4, 2026 · Team lift-out · derived
- Gabriella M Cahl left Pinnacle Investments, Llc for Morgan Stanley (registered 2026-01-28)Dec 11, 2025 · Advisor changed firm · fact
- Monica Ann Coles left Pinnacle Investments, Llc for Thurston Springer Advisors (registered 2026-02-19)Sep 23, 2025 · Advisor changed firm · fact
- Richard E Prince left Pinnacle Investments, Llc for Fidelity Personal And Workplace Advisors (registered 2024-07-26)Apr 25, 2024 · Advisor changed firm · fact
- John David Danzer left Pinnacle Investments, Llc for Cadaret Grant & Co Inc (registered 2023-12-15)Dec 18, 2023 · Advisor changed firm · fact
- Jeffrey Hughes Watson left Pinnacle Investments, Llc for Rialto Wealth Management (registered 2023-08-25)Aug 25, 2023 · Advisor changed firm · fact
- John Paul Harmatuk left Pinnacle Investments, Llc for Decisional Wealth Advisors Llc (registered 2023-06-16)Jun 16, 2023 · Advisor changed firm · fact
- Brannigan James Judge left Pinnacle Investments, Llc for Decisional Wealth Advisors Llc (registered 2023-06-16)Jun 16, 2023 · Advisor changed firm · fact
- Pinnacle Investments, Llc reported 57 state-registered advisory representatives, up from 47 (2022-10-28 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- Ryan J Nason left Pinnacle Investments, Llc for Securities America Advisors, Inc. (registered 2022-06-01)Jun 1, 2022 · Advisor changed firm · fact
- 2 advisors left Valic Financial Advisors, Inc. (Berkeley Heights, NJ) for Pinnacle Investments, LLC on the same dayApr 6, 2022 · Team lift-out · derived
- Pinnacle Investments, Llc reported 47 state-registered advisory representatives, up from 32 (2020-09-25 to 2021-03-18)Mar 18, 2021 · Advisor headcount change · derived
- Pinnacle Investments, Llc reported RAUM $814.7M, up 55% from $525.9M (2020-09-25 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- Ryan W York (Chief Executive Officer) no longer on Schedule A of Pinnacle Investments, Llc (listed 2019-04-29, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Benjamin Ryan Quilty (Chief Executive Officer) appeared on Schedule A of Pinnacle Investments, LlcMar 24, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pinnacle-investments-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pinnacleinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 315-251-1101reportedpublic record, Form ADV, Jul 16, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026