# PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES, LTD. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 110631
- Type: SEC-registered investment adviser
- SEC file number: 801-20841
- Location: 286 MADISON AVENUE, 20TH FLOOR, NEW YORK, NY, 10017
- Phone: (212) 652-3200
- Latest filing: 2026-03-26
- Regulatory AUM: $10.4B
- Discretionary AUM: $10.4B
- Non-discretionary AUM: $2.1M
- Clients: 69
- Accounts: 6,766

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (46)

_Showing 25 of 46 people._

| Name | Role | Location |
| --- | --- | --- |
| Brown T Michael | CHIEF COMPLIANCE OFFICER; PRESIDENT; TRUSTEE | Calgary, A0 |
| JOHN HOLMES BOCOCK | SENIOR PORTFOLIO MANAGER | RICHMOND, VA |
| James F Ferrare | EXECUTIVE VICE PRESIDENT | — |
| King Hanford Harris | SENIOR VICE PRESIDENT | — |
| Joel Michael Heyman | SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS | — |
| Harold Ward Stein | SENIOR PORTFOLIO MANAGER | — |
| Michael Francis Delfino | DIRECTOR OF TAFT HARTLEY SERVICES | — |
| Timothy Joseph Piacentini | SENIOR PORTFOLIO MANAGER | — |
| John Thomas Passios | EXECUTIVE VICE PRESIDENT; TRUSTEE | — |
| Kimon Passios | EXECUTIVE VICE PRESIDENT; TRUSTEE | — |
| Susan Leondis Root | SENIOR ACCOUNT ADMINISTRATOR; TRUSTEE | — |
| Eric Noel Freedgood | VICE PRESIDENT | — |
| Peter Nathan Marron | EXECUTIVE VICE PRESIDENT | — |
| Scott Michael Brown | PRESIDENT; TRUSTEE | — |
| Donald Maurer Dowd | VICE PRESIDENT | — |
| Paul Joseph Lagermasini | CHIEF FINANCIAL OFFICER | — |
| Joseph William Shea | CHIEF COMPLIANCE OFFICER | — |
| Andronike Passios | TRUSTEE | — |
| Patrice Borgese | TRUSTEE | — |
| REITENBACH NICHOLAS | SENIOR VICE PRESIDENT | — |
| MARRON PETER NATHAN | EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| MANNIX GAIL CAROLYN | COMPLIANCE OFFICER; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT/COMPLIANCE OFFICER | — |
| FERRARE JAMES F | EXECUTIVE VICE PRESIDENT; VICE PRESIDENT | — |
| HARRIS KING HANFORD | SENIOR VICE PRESIDENT | — |
| HEYMAN JOEL MICHAEL | SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS; SENIOR VICE PRESIDENT/DIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT/DIRECTOR OF OPERATIONS | — |


## Private funds (4)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| PINNACLE EQUITY FUND, L.P. | Other Private Fund | Delaware | 87 | $139.1M | $100K |
| PINNACLE OPPORTUNITY FUND, L.P. | Other Private Fund | Delaware | 49 | $21.9M | $100K |
| PINNACLE ALL-CAP FUND, L.P. | Other Private Fund | Delaware | 4 | $14.2M | $100K |
| PINNACLE INTERNATIONAL SMALL CAP PARTNERS, L.P. | Other Private Fund | Delaware | 13 | $878K | $100K |


## Branch offices (16)

_Showing 15 of 16 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| RICHMOND | VA | 4 | 804-643-1100 |
| RICHMOND | VA | 4 | 804-643-1100 |
| WOODCLIFF LAKE | NJ | 3 | 2126523200 |
| WESTPORT | CT | 3 | 212-652-3200 |
| REDBANK | NJ | 3 | 732-450-1161 |
| WOODCLIFF LAKE | NJ | 3 | 2126523200 |
| REDBANK | NJ | 3 | 732-450-1161 |
| WESTPORT | CT | 3 | 212-652-3200 |
| TARRYTOWN | NY | 2 | 914-468-0332 |
| HOLMDEL | NJ | 2 | 2126523200 |
| CHARLOTTESVILLE | VA | 2 | 434-220-0356 |
| TARRYTOWN | NY | 2 | 914-468-0332 |
| HOLMDEL | NJ | 2 | 2126523200 |
| CHARLOTTESVILLE | VA | 2 | 434-220-0356 |
| PRINCETON | NJ | 1 | (609) 987-2223 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110631/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110631/similar
- Related entities: https://search.stillhousedata.com/firm/110631/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110631

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.