PINNACLE ASSOCIATES LTD

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Pinnacle Associates LTD is based out of New York. Pinnacle Associates LTD is a large advisory firm with 2189 clients and discretionary assets under management (AUM) of $5,323,786,659 (Form ADV from 2018-08-01). Their last reported 13F filing for Q3 2019 included $4,245,332,000 in managed 13F securities and a top 10 holdings concentration of 16.34%. Pinnacle Associates LTD's largest holding is Apple Inc with shares held of 546,906. Whalewisdom has at least 107 13F filings, and 43 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $4.245 Billion
  • Prior Market Value $4.271 Billion
  • New Purchases37 stocks
  • Additional Purchases257 stocks
  • Sold out of37 stocks
  • Reduced holdings in342 stocks
  • Top 10 Holdings % 16.34 %
  • Turnover % [1]:10.51%
  • Turnover Alt % [2]: 5.71 %
  • Time Held Top20:12.35 quarters
  • Time Held Top10:9.70 quarters
  • Time Held All:27.64 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 12.99%
Performance Last 4 Quarters: 34.3%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR/A (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR/A (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR/A (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR/A (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR/A (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR/A (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR/A (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR/A (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR/A (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR/A (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR/A (Subscription required)
  • 2003-09-30 - 13F-HR/A (Subscription required)
  • 2003-09-30 - 13F-HR/A (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR/A (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR/A (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR/A (Subscription required)
  • 2002-12-31 - 13F-HR/A (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR/A (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR/A (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR/A (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR/A (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR/A (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR/A (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

PINNACLE ASSOCIATES, LTD.
Classified as Hedge Fund
335 MADISON AVENUE SUITE 1100
NEW YORK NY    10017
Country: United States

Business Phone: (212) 652-3200
Fax: (212) 949-2029
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NY
Number of employees: 55
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 1,186,190,000
Total Number of Clients: 2189
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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PINNACLE ASSOCIATES, LTD.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
FERRARE, JAMES, F EXECUTIVE VICE PRESIDENT 02/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1999-02-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 1999-02-01
PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLC MANAGING MEMBER indirect 2011-06-01
PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLC MANAGING MEMBER direct 2011-06-01
HARRIS, KING, HANFORD SENIOR VICE PRESIDENT 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT direct 1998-06-01
HEYMAN, JOEL, MICHAEL SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS 04/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT/DIRECTOR OF OPERATIONS direct 1995-04-01
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS direct 1995-04-01
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER direct 1995-04-01
ARCEO, LILIA DIRECTOR OF ADMINISTRATION 06/01/1985 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. DIRECTOR OF ADMINISTRATION direct 1985-06-01
SOBOLEWSKI, KENNETH, MICHAEL DIRECTOR OF MARKETING 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. DIRECTOR OF MARKETING direct 2002-11-01
STEIN, HAROLD, WARD SENIOR PORTFOLIO MANAGER 02/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR PORTFOLIO MANAGER direct 2003-02-01
DELFINO, MICHAEL, FRANCIS DIRECTOR OF TAFT HARTLEY SERVICES 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
FURMAN SELZ CAPITAL MANAGEMENT LLC EXECUTIVE DIRECTOR direct 2004-02-01
PINNACLE ASSOCIATES, LTD. DIRECTOR OF TAFT HARTLEY SERVICES direct 2005-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC CEO, PRESIDENT direct 2001-06-01 2003-08-07
PIACENTINI, TIMOTHY, JOSEPH SENIOR PORTFOLIO MANAGER 09/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR PORTFOLIO MANAGER direct 2002-09-01
PASSIOS, JOHN, THOMAS EXECUTIVE VICE PRESIDENT 06/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1986-06-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 1986-12-01 2003-04-24
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT direct 1986-12-01 2005-03-02
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-06-01 2014-11-11
PASSIOS, KIMON EXECUTIVE VICE PRESIDENT 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1996-05-01
PINNACLE ASSOCIATES, LTD. PORTFOLIO MANAGER direct 1996-05-01 2005-03-02
ROOT, SUSAN, LEONDIS SENIOR ACCOUNT ADMINISTRATOR 03/01/1999 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR ACCOUNT ADMINISTRATOR direct 1999-03-01
PINNACLE ASSOCIATES, LTD. SHAREHOLDER direct 1998-12-01 2003-04-24
PASSIOS, THOMAS PRESIDENT 03/01/1984 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. PRESIDENT direct 1984-03-01
PINNACLE INTERNATIONAL MANAGEMENT,LLC PRESIDENT/SHAREHOLDER indirect 1984-04-01
PINNACLE ASSOCIATES, LTD. PRESIDENT direct 1984-04-01 2005-03-02
FREEDGOOD, ERIC, NOEL VICE PRESIDENT 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 2011-06-01
MARRON, PETER, NATHAN EXECUTIVE VICE PRESIDENT 01/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1993-01-01
MATRIX CAPITAL GROUP, INC. PRESIDENT, CEO direct 1994-12-01 2002-05-29
MATRIX CAPITAL GROUP, INC. PRESIDENT, CEO, DIRECTOR direct 1994-12-01 2003-03-31
MATRIX CAPITAL GROUP, INC. DIRECTOR direct 2004-01-01 2006-05-01
BROWN, SCOTT, MICHAEL CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. CHIEF COMPLIANCE OFFICER direct 2015-02-01
LUMINOUS CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
WHITE OAK WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-07-01
HOLLYWOOD WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-07-01
YELLOWSTONE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-07-01
YELLOWSTONE WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-07-01
ENDEAVOUR ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-09-01
TAMPA ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-10-01
ROGERS WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
MOUNTAINEER CAPITAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
CLEARVIEW INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
CMH WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2009-04-01
THREE BRIDGE WEALTH ADVISORS, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
ACE FINANCIAL CONCEPTS, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
DOGWOOD CAPITAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-07-01
DP WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
CACTUS WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
WORLD TREE FINANCIAL, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
BRIDGEWAY WEALTH MANAGEMENT LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-12-01
ALBRIGHT WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
BLUEBONNET ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-06-01
JUNCTURE WEALTH STRATEGIES, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-09-01
PROCESSUS WEALTH & CAPITAL MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-10-01
APPLEWOOD WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-08-01
ARGYLE WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-11-01
AVEMPT WEALTH MANAGEMENT LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2012-05-01
BELLERM WEALTH ADVISORS, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2012-06-01
ALLABASTION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2012-10-01
BANOVIA WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2013-04-01
BRANDELL WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-06-01
BALLIOT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-06-01
ARAVELLO CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
BELLECHASE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
BERGADON CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
ABESTRA CAPITAL MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2014-09-01
DOWD, DONALD, MAURER VICE PRESIDENT 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT/PORTFOLIO ANALYST direct 2006-10-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 2006-10-01
LAGERMASINI, PAUL, JOSEPH CHIEF FINANCIAL OFFICER 11/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WBI INVESTMENTS INC. CHIEF FINANCIAL OFFICER direct 2015-10-01
MILLINGTON SECURITIES, INC. CHIEF FINANCIAL OFFICER direct 2015-10-01
MILLINGTON SECURITIES, INC. CHIEF FINANCIAL OFFICER AND FINOP direct 2015-10-01
HARTSHORNE GROUP, INC. CHIEF FINANCIAL OFFICER direct 2015-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PINNACLE OPPORTUNITY FUND, L.P. United States 805-4514083574 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 15,738,378 100,000
PINNACLE INTERNATIONAL SMALL CAP PARTNERS, L.P. United States 805-2167356069 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 9,635,343 100,000
PINNACLE EQUITY FUND, L.P. United States 805-9950324138 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 143,386,383 100,000
PINNACLE ALL-CAP FUND, L.P. United States 805-7973018225 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 6,213,537 100,000

PINNACLE ASSOCIATES, LTD.

ownership team - last updated 2018-06-27
Name Title Start Date Direct/Indirect % Ownership
FERRARE, JAMES, F EXECUTIVE VICE PRESIDENT 02/01/1999 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1999-02-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 1999-02-01
PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLC MANAGING MEMBER indirect 2011-06-01
PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLC MANAGING MEMBER direct 2011-06-01
HARRIS, KING, HANFORD SENIOR VICE PRESIDENT 06/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT direct 1998-06-01
HEYMAN, JOEL, MICHAEL SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS 04/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT/DIRECTOR OF OPERATIONS direct 1995-04-01
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS direct 1995-04-01
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER direct 1995-04-01
ARCEO, LILIA DIRECTOR OF ADMINISTRATION 06/01/1985 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. DIRECTOR OF ADMINISTRATION direct 1985-06-01
SOBOLEWSKI, KENNETH, MICHAEL DIRECTOR OF MARKETING 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. DIRECTOR OF MARKETING direct 2002-11-01
STEIN, HAROLD, WARD SENIOR PORTFOLIO MANAGER 02/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR PORTFOLIO MANAGER direct 2003-02-01
DELFINO, MICHAEL, FRANCIS DIRECTOR OF TAFT HARTLEY SERVICES 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
FURMAN SELZ CAPITAL MANAGEMENT LLC EXECUTIVE DIRECTOR direct 2004-02-01
PINNACLE ASSOCIATES, LTD. DIRECTOR OF TAFT HARTLEY SERVICES direct 2005-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC CEO, PRESIDENT direct 2001-06-01 2003-08-07
PIACENTINI, TIMOTHY, JOSEPH SENIOR PORTFOLIO MANAGER 09/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR PORTFOLIO MANAGER direct 2002-09-01
PASSIOS, JOHN, THOMAS EXECUTIVE VICE PRESIDENT 06/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1986-06-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 1986-12-01 2003-04-24
PINNACLE ASSOCIATES, LTD. SENIOR VICE PRESIDENT direct 1986-12-01 2005-03-02
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER direct 1986-06-01 2014-11-11
PASSIOS, KIMON EXECUTIVE VICE PRESIDENT 05/01/1996 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1996-05-01
PINNACLE ASSOCIATES, LTD. PORTFOLIO MANAGER direct 1996-05-01 2005-03-02
ROOT, SUSAN, LEONDIS SENIOR ACCOUNT ADMINISTRATOR 03/01/1999 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. SENIOR ACCOUNT ADMINISTRATOR direct 1999-03-01
PINNACLE ASSOCIATES, LTD. SHAREHOLDER direct 1998-12-01 2003-04-24
PASSIOS, THOMAS PRESIDENT 03/01/1984 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. PRESIDENT direct 1984-03-01
PINNACLE INTERNATIONAL MANAGEMENT,LLC PRESIDENT/SHAREHOLDER indirect 1984-04-01
PINNACLE ASSOCIATES, LTD. PRESIDENT direct 1984-04-01 2005-03-02
FREEDGOOD, ERIC, NOEL VICE PRESIDENT 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 2011-06-01
MARRON, PETER, NATHAN EXECUTIVE VICE PRESIDENT 01/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. EXECUTIVE VICE PRESIDENT direct 1993-01-01
MATRIX CAPITAL GROUP, INC. PRESIDENT, CEO direct 1994-12-01 2002-05-29
MATRIX CAPITAL GROUP, INC. PRESIDENT, CEO, DIRECTOR direct 1994-12-01 2003-03-31
MATRIX CAPITAL GROUP, INC. DIRECTOR direct 2004-01-01 2006-05-01
BROWN, SCOTT, MICHAEL CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. CHIEF COMPLIANCE OFFICER direct 2015-02-01
LUMINOUS CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2008-04-01
WHITE OAK WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-07-01
HOLLYWOOD WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-07-01
YELLOWSTONE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-07-01
YELLOWSTONE WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-07-01
ENDEAVOUR ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-09-01
TAMPA ASSET MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2008-10-01
ROGERS WEALTH MANAGEMENT, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
MOUNTAINEER CAPITAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
CLEARVIEW INVESTMENT PARTNERS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-04-01
CMH WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2009-04-01
THREE BRIDGE WEALTH ADVISORS, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
ACE FINANCIAL CONCEPTS, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2009-06-01
DOGWOOD CAPITAL ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-07-01
DP WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-08-01
CACTUS WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-09-01
WORLD TREE FINANCIAL, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-10-01
BRIDGEWAY WEALTH MANAGEMENT LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2009-12-01
ALBRIGHT WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-05-01
BLUEBONNET ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-06-01
JUNCTURE WEALTH STRATEGIES, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-09-01
PROCESSUS WEALTH & CAPITAL MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-10-01
APPLEWOOD WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-08-01
ARGYLE WEALTH MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2011-11-01
AVEMPT WEALTH MANAGEMENT LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2012-05-01
BELLERM WEALTH ADVISORS, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2012-06-01
ALLABASTION WEALTH ADVISORS, INC. MANAGER/CHIEF COMPLIANCE OFFICER direct 2012-10-01
BANOVIA WEALTH MANAGEMENT, LLC MANAGER / CHIEF COMPLIANCE OFFICER direct 2013-04-01
BRANDELL WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-06-01
BALLIOT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-06-01
ARAVELLO CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
BELLECHASE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
BERGADON CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
ABESTRA CAPITAL MANAGEMENT, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2014-09-01
DOWD, DONALD, MAURER VICE PRESIDENT 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT/PORTFOLIO ANALYST direct 2006-10-01
PINNACLE ASSOCIATES, LTD. VICE PRESIDENT direct 2006-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PINNACLE ALL-CAP FUND, L.P. United States 805-7973018225 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 6,150,286 100,000
PINNACLE OPPORTUNITY FUND, L.P. United States 805-4514083574 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 16,495,230 100,000
PINNACLE INTERNATIONAL SMALL CAP PARTNERS, L.P. United States 805-2167356069 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 10,987,712 100,000
PINNACLE EQUITY FUND, L.P. United States 805-9950324138 Other Private Fund LIMITED PARTNERSHIP PRIMARILY INVESTING IN PUBLIC EQUITIES 140,294,044 100,000

WhaleScore history for PINNACLE ASSOCIATES LTD

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