PINNACLE ADVISORS LLC of EAST SYRACUSE, NY is an SEC-registered investment adviser (CRD 107275). Regulatory assets under management: $433K.
Compensation: % of AUM.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Gregory B Cuvelier | MEMBER | — |
| Gregg Anthony Kidd | MEMBER | — |
| Luke James Lonergan | MEMBER | — |
| Jr. Richard Lanning | MEMBER | — |
| Robert Frank Cuculich | PRESIDENT | — |
| Benjamin Ryan Quilty | CHIEF COMPLIANCE OFFICER | — |
| KIDD GREGG ANTHONY | MEMBER; MEMBER, PRESIDENT, CHIEF COMPLIANCE OFFICER; PRESIDENT, MEMBER | — |
| RAITE DANIEL FRANCIS | MEMBER | — |
| CUVELIER CRAIG BRUCE | MEMBER; SHAREHOLDER | — |
| SAMORAJ MICHAEL MYRON | CHIEF COMPLIANCE OFFICER | — |
| CUVELIER BRIAN B | MEMBER; SHAREHOLDER | — |
| LONERGAN LUKE JAMES | MEMBER; SHAREHOLDER | — |
| LANNING JR RICHARD DUELL | MEMBER; SHAREHOLDER | — |
| LANNING MARIA | SHAREHOLDER | — |
| CUCULICH ROBERT FRANK | PRESIDENT | — |
| QUILTY BENJAMIN RYAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-05 | civil | THIS CASE INVOLVES THE FAILURE OF A REGISTERED OPEN-END INVESTMENT COMPANY (THE "NYSA FUND" OR THE "FUND") TO COMPLY WITH RULES 22E-4 (THE "LIQUIDITY RULE") AND 30B1-10 UNDER THE INVESTMENT COMPANY ACT OF 1940 (THE "INVESTMENT COMPANY ACT"). FROM JUNE 2019 TO JUNE 2020, MORE THAN 15% OF THE NYSA FUN… | Pending | — |
| 2023-05-05 | regulatory | THIS CASE INVOLVES THE FAILURE OF A REGISTERED OPEN-END INVESTMENT COMPANY (THE "NYSA FUND" OR THE "FUND") TO COMPLY WITH RULES 22E-4 (THE "LIQUIDITY RULE") AND 30B1-10 UNDER THE INVESTMENT COMPANY ACT OF 1940 (THE "INVESTMENT COMPANY ACT"). FROM JUNE 2019 TO JUNE 2020, MORE THAN 15% OF THE NYSA FUN… | Final | — |
| 2023-05-05 | regulatory | THIS CASE INVOLVES THE FAILURE OF A REGISTERED OPEN-END INVESTMENT COMPANY (THE "NYSA FUND" OR THE "FUND") TO COMPLY WITH RULES 22E-4 (THE "LIQUIDITY RULE") AND 30B1-10 UNDER THE INVESTMENT COMPANY ACT OF 1940 (THE "INVESTMENT COMPANY ACT"). FROM JUNE 2019 TO JUNE 2020, MORE THAN 15% OF THE NYSA FUN… | Pending | — |
| — | regulatory | — | — | — |