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 Family Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2012 · 27 filings
SEC status approved since May 14, 2013
RAUM
$372M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$295M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$372M as of Mar 31, 2026
Mar 26, 2012$53.7M then
HNW client RAUM$144M as of Mar 31, 2026
Mar 26, 2018$50.4M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 27, 201410 then
Employees (5.A)13 as of Mar 31, 2026
Mar 27, 201415 then
Private funds: no history
RAUM +8.9% over the last fiscal year+14% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $185,204derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $9.5M, 28 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$151M40%
- High-net-worth individuals$144M39%
- Investment companies$73.6M20%
- Corporations and businesses$2.4M0.6%
- Pension and profit-sharing plans$727,9380.2%
- Charitable organizations$101,6690.0%
- Individual clients
- 802reported
- HNW clients
- 105reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 2,007reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.5M for 28 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.2 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Sean Mccurry | Springfield, Mo | Apr 28, 2009 | 29 y | 1 |
| Paul Thomas Carroll | Springfield, Mo | Apr 28, 2009 | 26 y | 2 |
| Brian Charles Mccracken | Springfield, Mo | Jan 21, 2010 | 23 y | 4 |
| Janet Sue Hudson | Springfield, Mo | Mar 23, 2012 | 15 y | 0 |
| Geoffrey Gene Russell | Springfield, Mo | Aug 16, 2012 | 21 y | 1 |
| Michael Todd VaughnCertified Financial Planner | Springfield, Mo | Feb 10, 2014 | 26 y | 1 |
| Joel Stephen Pearson | Springfield, Mo | Oct 27, 2015 | 22 y | 1 |
| Christopher Allen BesteCertified Financial Planner | Creve Coeur, Mo | Oct 1, 2020 | 13 y | 2 |
| Cody M. Breeden | Springfield, Mo | Apr 23, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Spencer Anthony Wilmes to The Worley Banks Group, LLCApr 12, 2022 · RIA to RIA
- Max Kohn Brown to Alliancebernstein L.P.Mar 13, 2019 · Other
Joined, latest
- Spencer Anthony Wilmes from Rfg Advisory, LLCJul 2, 2021 · RIA to RIA
- Christopher Allen Beste from Rfg Advisory, LLCOct 1, 2020 · RIA to RIA
- Max Kohn Brown from Hays Advisory, LLCJan 31, 2019 · Other
- Joel Stephen Pearson from Ameriprise Financial Services, LLCOct 27, 2015 · Other
- Michael Todd Vaughn from The Mutual Fund StoreFeb 10, 2014 · Other
- Geoffrey Gene Russell from Smith Moore & Co.Aug 16, 2012 · Other
- Brian Charles Mccracken from Morgan StanleyJan 21, 2010 · Other
- Paul Thomas Carroll from Raymond James Financial Services, Inc.Apr 28, 2009 · Other
- Ronald Sean Mccurry from Raymond James Financial Services, Inc.Apr 28, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Paul Carroll · Chief Compliance Officer/Chief Investment Officercontrolsince 02/2009 · owns less than 5%
- Sean Ronald Mccurry · Managing Member/Presidentcontrolsince 10/2007 · owns 25% to 50%
- Brian Timothy O'Reilly · Membersince 10/2007 · owns 5% to 10%
- Marc Jeffrey Britton · Trusteesince 10/2012 · owns 75% or more of Britton Family Dynasty Trust- Dated 10/25/2012
- Allen Rick Britton · Trusteesince 10/2012 · owns 75% or more of Rick A. Britton Revocable Trust- Dated 10-26-2012
- Kay Kimberly Horton · Trusteesince 06/1999 · owns 75% or more of Kimberly Kay Horton Revocable Trust-Dated June 2, 1999
- Michelle Mandy Tucker · Trusteesince 10/2012 · owns 75% or more of Britton Family Dynasty Trust- Dated 10/25/2012
Entity owners
- Britton Family Dynasty Trust- Dated 10/25/2012 · Memberdirect · owns 10% to 25%
- Kimberly Kay Horton Revocable Trust-Dated June 2, 1999 · Memberdirect · owns less than 5%
- Rick A. Britton Revocable Trust- Dated 10-26-2012 · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Brian Mccrackeninsurancey
- Janet Hudsoninsurancey
- Pinnacle Private Ventures Fund I, Gp, LLCpooled vehicle sponsorn
- Pinnacle Private Ventures Fund II, Gp, LLCpooled vehicle sponsorn
- Pinnacle Private Ventures, LLCinvestment advisern
- Timothy B. O'Reillyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springfield, Mo · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. Louis, MO1 employees
What changed
consecutive filings, newest first
- Accounts · 1,876 to 2,007Mar 31, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Mar 31, 2025 to Mar 31, 2026
- Corporate clients · unset to 6.0Mar 31, 2025 to Mar 31, 2026
- HNW clients · 92 to 105Mar 31, 2025 to Mar 31, 2026
- Individual clients · 858 to 802Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · unset to 1.0Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $8.5M to $9.5MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $341M to $372MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $104M to $144MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $147M to $151MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $634,335 to $727,938Mar 31, 2025 to Mar 31, 2026
- RAUM · $341M to $372MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,730 to 1,876Oct 29, 2024 to Mar 31, 2025
- Charity clients · 2.0 to unsetOct 29, 2024 to Mar 31, 2025
- Corporate clients · 4.0 to unsetOct 29, 2024 to Mar 31, 2025
- HNW clients · 64 to 92Oct 29, 2024 to Mar 31, 2025
- Individual clients · 780 to 858Oct 29, 2024 to Mar 31, 2025
- Pension plan clients · 1.0 to unsetOct 29, 2024 to Mar 31, 2025
- Assets in custody · $8.4M to $8.5MOct 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Oct 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $271M to $341MOct 29, 2024 to Mar 31, 2025
- HNW RAUM · $72.2M to $104MOct 29, 2024 to Mar 31, 2025
- Individual RAUM · $135M to $147MOct 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.1M to $0Oct 29, 2024 to Mar 31, 2025
- Pension RAUM · $540,641 to $634,335Oct 29, 2024 to Mar 31, 2025
- RAUM · $272M to $341MOct 29, 2024 to Mar 31, 2025
- Accounts · 1,776 to 1,730Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 7 to 4Mar 30, 2023 to Mar 27, 2024
- HNW clients · 69 to 64Mar 30, 2023 to Mar 27, 2024
- Individual clients · 766 to 780Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $4.7M to $8.4MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $251M to $271MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $78.9M to $72.2MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $113M to $135MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.0M to $1.1MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $470,300 to $540,641Mar 30, 2023 to Mar 27, 2024
- RAUM · $252M to $272MMar 30, 2023 to Mar 27, 2024
- Accounts · 1,735 to 1,776Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 10 to 8Mar 30, 2022 to Mar 30, 2023
- Advisory activities · 7 to 8Mar 30, 2022 to Mar 30, 2023
Signals
2 dated events
- Spencer Anthony Wilmes left Pinnacle Family Advisors, Llc for The Worley Banks Group, Llc (registered 2022-07-27)Apr 12, 2022 · Advisor changed firm · fact
- Pinnacle Family Advisors, Llc filed its initial SEC registration (Form ADV)Apr 25, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Pinnacle Family Advisors, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 314-225-6914reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 844-466-6723reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pinnacleetfs.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 417-886-6590reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- pinnacleetfs.com/contactreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026