Disclosure BrochureForm CRSCareers

Disclosure Information

General Disclosures

Pinnacle Associates Ltd. ("Pinnacle") is an SEC registered investment adviser headquartered in New York, New York. Pinnacle and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Pinnacle maintains clients. Pinnacle may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Pinnacle's website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Pinnacle's website on the Internet should not be construed by any consumer and/or prospective client as Pinnacle's solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Pinnacle with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Pinnacle, please refer to the Investment Adviser Public Disclosure Website. A copy of Pinnacle's current written disclosure brochure discussing Pinnacle's business operations, services, and fees is available from Pinnacle upon written request. Pinnacle does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Pinnacle website or incorporated herein, and takes no responsibility, therefore. All such information is provided for convenience purposes only and all users thereof should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Pinnacle), will be profitable or equal any historical performance level(s).

Each client and prospective client agrees, as a condition precedent to his/her/its access to Pinnacle's website, to release and hold harmless Pinnacle, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Pinnacle.

Ranking Disclosures

Ranking Limitations

Neither rankings and/or recognitions by unaffiliated rating services, publications, media, or other organizations, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Pinnacle is engaged, or continues to be engaged, to provide investment advisory services. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers (see participation criteria/methodology). Unless expressly indicated to the contrary, Pinnacle did not pay a fee to be included on any such ranking. No ranking or recognition should be construed as a current or past endorsement of Pinnacle by any of its clients.

Ranking Specific Criteria Disclaimers

PSN Top Guns

The complete list of PSN Top Guns and an overview of the methodology can be located on https://psn.fi.informais.com/.

The content of PSN Top Guns is intended for use by qualified investment professionals. Please consult with an investment professional before making any investment decisions using content or implied content from PSN Top Guns.

CNBC Financial Advisor 100

CNBC enlisted data provider AccuPoint Solutions to assist with the ranking of registered investment advisors for this year’s FA 100 list.

For details on how the rankings were compiled and their methodology, please visit


Forbes Best-in-state Wealth Advisors

The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, gained through telephone, virtual and in-person due diligence interviews, and quantitative data.

For a full description of the criteria used by SHOOK, please visit


Social Media Disclosures

Pinnacle sponsors and publishes, and may in the future sponsor and publish, posts on or through pages, profiles, accounts, feeds, channels or other portions of various social media platforms, including, but not limited to, LinkedIn, for educational, promotional or other business reasons. Pinnacle may also be publicly discussed on independent third-party social media websites and Pinnacle may share links to this content on its social media pages. Pinnacle’s posts and publications, as well as public posts of third parties’ independent social media sites, may be considered “advertising” by Pinnacle under applicable rules of the SEC.

About Pinnacle’s Posts

No Pinnacle post published on any social media platform is an offer to sell or a solicitation of an offer to buy shares of any Pinnacle investment product to any person in any jurisdiction in which an offer, solicitation, purchase or sale would be unlawful under the laws of such jurisdiction. Pinnacle’s posts should not be considered an offering of any security, which can only be made by a prospectus. Additionally, all Pinnacle posts published on any social media platform are for informational purposes only and should not be considered as investment advice or a recommendation to invest in any particular security, strategy or investment product.  Pinnacle’s posts on social media may include statements concerning financial market trends, and are based on current market conditions, which will fluctuate and may be superseded by subsequent market events or for other reasons. Historic market trends are not reliable indicators of actual future market behavior or future performance of any particular investment, which may differ materially and should not be relied upon as such. The investment strategy and broad themes discussed therein may be unsuitable for investors depending on the investors’ specific investment objectives and financial situation. Information contained in Pinnacle’s posts has been obtained from sources believed by Pinnacle to be reliable, but such sources are not guaranteed to be accurate or useful. Information contained in Pinnacle’s posts may be incomplete and subject to change. In addition, information regarding these matters may include Pinnacle’s own views and beliefs, which are matters of opinion and should not be read as facts. You should note that the materials on the social media platforms are provided "as is" without any express or implied warranties. Past performance is not a guarantee of future results. All investments involve a degree of risk, including the risk of loss. No part of Pinnacle’s posts may be reproduced in any form, or referred to in any other publication, without express written permission from Pinnacle. Pinnacle posts may provide links to third-party websites only as a convenience and the inclusion of such links does not imply any endorsement, approval, investigation, verification or monitoring by Pinnacle of any content or information contained within or accessible from the linked sites. Pinnacle has no control over any such other websites, the contents therein or the products or services of the websites or the operators of the websites. We cannot be and are not responsible for the content or accuracy of the information presented on those websites and we specifically disclaim any responsibility for the privacy policies and customer information practices of those websites and disclaim any liability for any loss or damages that you may incur, directly or indirectly, as a result of your use of them. We reserve the right to terminate a link to a third-party website at any time.

General User Guidelines

Due to the highly regulated nature of our industry, Pinnacle does not follow other users and, in some instances, may not reply to user comments. Further, Pinnacle will not publish (e.g., repost or “retweet”) individual posts or publications of other users on any social media site, as such publication could be considered by regulators to be an implicit endorsement of the individual post.

Conversely, certain social media sites may allow Pinnacle to include a list of contacts or “friends” with which Pinnacle or its personnel may be professionally or otherwise connected. Such a list of contacts and friends would be presented in the ordinary course, and would not be organized so as to identify current or past clients or to create any inference that the friends and contacts experienced favorable results from Pinnacle’s investment advisory services.

Do not attempt to post or otherwise publish any material that is misleading or deceptive on any Pinnacle social media page or post. Please ensure that your contributions in relation to any Pinnacle posts are relevant and topical. Do not publish your own advertisements of any kind on any Pinnacle social media page or with respect to any Pinnacle posts. We ask you to be respectful and courteous and refrain from publishing, including through hyperlinks, inappropriate or offensive material on any Pinnacle social media page. Do not attempt to promote investments (this includes posting testimonials, giving investment advice, or making recommendations about specific securities, securities strategies, products or services) on any Pinnacle social media page. Do not attempt to submit to Pinnacle any personal, confidential or account information through any Pinnacle social media page. Pinnacle is not subject to any obligations of confidentiality regarding information submitted to them through any Pinnacle social media page or otherwise through any social media platform.

Third Party Posts on Any Pinnacle Social Media Page

While Pinnacle may monitor third-party posts published on any Pinnacle social media page, such posts are not reviewed before being displayed. Pinnacle does not list any “skills” on its LinkedIn page. You should assume that any social plug-ins purporting to endorse or provide a statement of a client’s experience with Pinnacle have not been passed upon, approved, or permitted by Pinnacle to be published, and Pinnacle specifically disclaims any involvement with or supervision of such plug-ins.

Third party posts on any Pinnacle social media page are the view and responsibility of the third party, not Pinnacle. Pinnacle cannot guarantee the appropriateness, accuracy or usefulness of any third-party posts or of any third-party hyperlink, nor is Pinnacle responsible for any unauthorized or copyrighted materials contributed by a third party in any Pinnacle social media page. Pinnacle reserves the right to remove or edit any third-party posts or comments on any Pinnacle social media page, including any third-party posts or comments, that are inappropriate or that violate (or may violate) applicable laws, regulations or policies.

Pinnacle does not itself publish or otherwise disseminate statements relating to current or former clients’ positive experiences with or endorsements of Pinnacle  and expects you to refrain from publishing such posts on any Pinnacle social media page. You should limit your posts on any Pinnacle social media page to investment themes rather than commenting, positively or negatively, on Pinnacle, its products, services or personnel. Although our clients may follow this account, the fact that a client follows this account should not be interpreted as a testimonial regarding any client’s experience with our firm.

While Pinnacle does not currently sponsor advertisements intended to appear on social media sites, any such advertisements that may appear in the future on a social media site on which Pinnacle holds an account will be easily recognizable to the public as a sponsored statement, and it will be readily apparent to a reader that the advertisement is separate from the public commentary on the social media site.

Any descriptions of, references to, or links to other products, publications or services do not constitute an endorsement, authorization, sponsorship by, or affiliation with Pinnacle with respect to any hyperlinked site or its sponsor, unless expressly stated in writing by Pinnacle. Pinnacle expressly disclaims any responsibility for the posts, the accuracy of the information, and/or the quality of products or services provided by or advertised on these third-party sites, as posted by third parties on any Pinnacle social media page.

Use Social Media Platforms at Your Own Risk

Pinnacle is in no way affiliated or “materially connected,” as that term has been used in the context of investment adviser advertising regulation, with any social media site, and has no responsibility for any social media site’s operations and services or influence over any social media site’s independent content and public commentary. Pinnacle and its respective affiliates, directors, officers, or employees are not liable for any direct, indirect, incidental, consequential, punitive or special damages arising out of or in any way connected with your access or use of, or inability to access or use, a social media platform, any Pinnacle social media page thereon or reliance on any Pinnacle post or any failure of performance, interruption, defect, delay in transmission, computer viruses or other harmful components, or line or system failure associated with a social media platform or any Pinnacle social media page thereon. Use of a social media platform or any Pinnacle social media page thereon is at your own risk.

Privacy Policy

Pinnacle is not responsible for the terms of use, customer information practices or privacy policies of any social media platform on which Pinnacle posts may appear, including in any Pinnacle social media page. For additional information regarding Pinnacle client account security and privacy, refer to our Privacy Policy, available on our website.

Your Acceptance of These Terms

Your use of this site constitutes your acceptance of the terms contained herein. You may reject these terms by leaving the site immediately.

For additional information about Pinnacle or to contact us, please visit our website at