Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Pinnacle Associates, Ltd..
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
JOHN THOMAS PASSIOSDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
10% to < 25%
KIMON PASSIOSDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
10% to < 25%
SUSAN LEONDIS ROOTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
10% to < 25%
ANDRONIKE L. PASSIOS 2020 TRUSTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
10% to < 25%
JAMES F FERRAREDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
THE ARTICLE IV GST EXEMPT MARITAL TRUST UA THOMAS PASSIOS REV TR DTD 11- 21-17Direct owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
JAMES FERRARE 2024 DYNASTY TRUSTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
JOHN PASSIOS DYNASTY TRUSTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
KIMON PASSIOS DYNASTY TRUSTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
SUSAN ROOT DYNASTY TRUSTDirect owner · Schedule AInterest in PINNACLE ASSOCIATES, LTD.
5% to < 10%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Pinnacle Associates, Ltd...
Reported ownership and control details
Form ADV · Filing date 2026-03-26 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JAMES F FERRAREEXECUTIVE VICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | Yes | EXECUTIVE VICE PRESIDENT02/1999 | Schedule APDF page 42 |
| 2 | KING HANFORD HARRISSENIOR VICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | SENIOR VICE PRESIDENT06/1998 | Schedule APDF page 42 |
| 3 | JOEL MICHAEL HEYMANSENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONSIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS04/1995 | Schedule APDF page 42 |
| 4 | HAROLD WARD STEINSENIOR PORTFOLIO MANAGERIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | SENIOR PORTFOLIO MANAGER02/2003 | Schedule APDF page 42 |
| 5 | MICHAEL FRANCIS DELFINODIRECTOR OF TAFT HARTLEY SERVICESIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | DIRECTOR OF TAFT HARTLEY SERVICES01/2005 | Schedule APDF page 42 |
| 6 | TIMOTHY JOSEPH PIACENTINISENIOR PORTFOLIO MANAGERIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | SENIOR PORTFOLIO MANAGER09/2002 | Schedule APDF page 42 |
| 7 | JOHN THOMAS PASSIOSEXECUTIVE VICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | 10% to less than 25%Code B | Yes | EXECUTIVE VICE PRESIDENT06/1986 | Schedule APDF page 42 |
| 8 | KIMON PASSIOSEXECUTIVE VICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | 10% to less than 25%Code B | Yes | EXECUTIVE VICE PRESIDENT05/1996 | Schedule APDF page 42 |
| 9 | SUSAN LEONDIS ROOTSENIOR ACCOUNT ADMINISTRATORIndividual | PINNACLE ASSOCIATES, LTD. | 10% to less than 25%Code B | No | SENIOR ACCOUNT ADMINISTRATOR03/1999 | Schedule APDF page 42 |
| 10 | ERIC NOEL FREEDGOODVICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | VICE PRESIDENT06/2011 | Schedule APDF page 42 |
| 11 | PETER NATHAN MARRONEXECUTIVE VICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | Yes | EXECUTIVE VICE PRESIDENT01/1993 | Schedule APDF page 42 |
| 12 | SCOTT MICHAEL BROWNPRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | Yes | PRESIDENT02/2015 | Schedule APDF page 42 |
| 13 | DONALD MAURER DOWDVICE PRESIDENTIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | VICE PRESIDENT10/2006 | Schedule APDF page 42 |
| 14 | PAUL JOSEPH LAGERMASINICHIEF FINANCIAL OFFICERIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER11/2018 | Schedule APDF page 42 |
| 15 | JOSEPH WILLIAM SHEACHIEF COMPLIANCE OFFICERIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER04/2018 | Schedule APDF page 42 |
| 16 | THE ARTICLE IV GST EXEMPT MARITAL TRUST UA THOMAS PASSIOS REV TR DTD 11- 21-17OWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | No | OWNER07/2021 | Schedule APDF page 42 |
| 17 | ANDRONIKE L. PASSIOS 2020 TRUSTOWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 10% to less than 25%Code B | No | OWNER03/2023 | Schedule APDF page 42 |
| 18 | JAMES FERRARE 2024 DYNASTY TRUSTOWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | No | OWNER12/2024 | Schedule APDF page 42 |
| 19 | JOHN HOLMES BOCOCKSENIOR PORTFOLIO MANAGERIndividual | PINNACLE ASSOCIATES, LTD. | Less than 5%Code NA | No | SENIOR PORTFOLIO MANAGER05/2024 | Schedule APDF page 42 |
| 20 | JOHN PASSIOS DYNASTY TRUSTOWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | No | OWNER12/2024 | Schedule APDF page 42 |
| 21 | KIMON PASSIOS DYNASTY TRUSTOWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | No | OWNER12/2024 | Schedule APDF page 42 |
| 22 | SUSAN ROOT DYNASTY TRUSTOWNERDomestic entity | PINNACLE ASSOCIATES, LTD. | 5% to less than 10%Code A | No | OWNER12/2024 | Schedule APDF page 42 |
| 23 | Andronike PassiosTRUSTEEIndividual | THE ARTICLE IV GST EXEMPT MARITAL TRUST UA THOMAS PASSIOS REV TR DTD 11- 21-17 | Percentage not specifiedCode F | No | TRUSTEE07/2021 | Schedule BPDF page 43 |
| 24 | JOHN THOMAS PASSIOSTRUSTEEIndividual | KIMON PASSIOS DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2024 | Schedule BPDF page 43 |
| 25 | JOHN THOMAS PASSIOSTRUSTEEIndividual | THE ARTICLE IV GST EXEMPT MARITAL TRUST UA THOMAS PASSIOS REV TR DTD 11- 21-17 | Percentage not specifiedCode F | Yes | TRUSTEE07/2021 | Schedule BPDF page 43 |
| 26 | SCOTT MICHAEL BROWNTRUSTEEIndividual | JOHN PASSIOS DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2024 | Schedule BPDF page 43 |
| 27 | SUSAN LEONDIS ROOTTRUSTEEIndividual | ANDRONIKE L. PASSIOS 2020 TRUST | Percentage not specifiedCode F | No | TRUSTEE03/2023 | Schedule BPDF page 43 |
| 28 | PATRICE BORGESETRUSTEEIndividual | ANDRONIKE L. PASSIOS 2020 TRUST | Percentage not specifiedCode F | No | TRUSTEE03/2023 | Schedule BPDF page 43 |
| 29 | KIMON PASSIOSTRUSTEEIndividual | SUSAN ROOT DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2024 | Schedule BPDF page 43 |
| 30 | SCOTT MICHAEL BROWNTRUSTEEIndividual | JAMES FERRARE 2024 DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2024 | Schedule BPDF page 43 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/26/2026 2:39:16 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.