The Pinnacle Financial Group
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 164395
· SEC file 801-77304
· Rockville Centre, NY
· WWW.TWITTER.COM
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 3,208
- Avg AUM / client
- $431K
- Accounts
- 3,729
- Employees
- 54
AUM over time
$0
$1.4B
Oct 2012
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,901 | $352M | 25.5% |
| High net worth individuals | 1,249 | $949M | 68.6% |
| Pension and profit sharing plans | 6 | $47.4M | 3.43% |
| Charitable organizations | 7 | $8.2M | 0.59% |
| Corporations and other businesses | 45 | $26.8M | 1.94% |
People (39)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Donald Esposito | President/Chief Compliance Officer | Oct 2012 (14y) | 75% or more | |
| Gregg S Schriro | Registered representative | Oct 2013 (13y) | ||
| Falgun Jariwala | Registered representative | Jun 2014 (12y) | ||
| John B Hess | Registered representative | CFP | Mar 2019 (7y) | |
| Linda Louise Borst | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Bennett Harris Berman | Registered representative | Aug 2021 (5y) | ||
| Jason Morgan Mckenna | Registered representative | CFP | Aug 2021 (5y) | |
| Vincent John Famulari | Registered representative | CFP | Aug 2021 (5y) | |
| John Michael Raschella | Registered representative | Aug 2021 (5y) | ||
| Richard Charles Lahn | Registered representative | Aug 2021 (5y) | ||
| Dawn Marie Bressingham | Registered representative | Aug 2021 (5y) | ||
| Paul Irwin Kleinberg | Registered representative | Aug 2021 (5y) | ||
| Robert Ryan Skoff | Registered representative | Aug 2021 (5y) | ||
| Ronald Gene Wexler | Registered representative | Aug 2021 (5y) | ||
| Michael Charles Aniello | Registered representative | Aug 2021 (5y) | ||
| Shaun B Sterling | Registered representative | Aug 2021 (5y) | ||
| Andrew Mark Hoffman | Registered representative | CFP | Aug 2021 (5y) | |
| Blake Hunley Spencer | Registered representative | Aug 2021 (5y) | ||
| Ryan Anthony Thiel | Registered representative | Aug 2021 (5y) | ||
| Paul William Carmichael | Registered representative | Aug 2021 (5y) | ||
| Nicholas Iocco | Registered representative | Aug 2021 (5y) | ||
| Craig Matthew Hassel | Registered representative | Aug 2021 (5y) | ||
| Harold James Rivenburgh | Registered representative | Aug 2021 (5y) | ||
| Elisa Verna Caspare | Registered representative | Sep 2021 (5y) | ||
| George P Folias | Registered representative | Sep 2021 (5y) | ||
| Hillard Scott Saveth | Registered representative | Sep 2021 (5y) | ||
| Thomas Musto | Registered representative | Sep 2021 (5y) | ||
| Mario Albert Molino | Registered representative | Sep 2021 (5y) | ||
| Gregory Joseph Kennedy | Registered representative | Sep 2021 (5y) | ||
| Gary Leonard Leventhal | Registered representative | Oct 2021 (5y) | ||
| James Christopher Trudden | Registered representative | Nov 2021 (5y) | ||
| Leonard Francis Marzigliano | Registered representative | Mar 2023 (3y) | ||
| Bonnie Laurino | Registered representative | CFP | Nov 2024 (2y) | |
| Christopher Cornett | Registered representative | CFP | Dec 2024 (2y) | |
| Renee Danielle Willett | Registered representative | Dec 2024 (2y) | ||
| Timothy Mahoney Archard | Registered representative | CFA | Dec 2024 (2y) | |
| Eric Neuwirth | Registered representative | CFP | Oct 2025 (1y) | |
| Michael S Fisher | Registered representative | CFP | Apr 2026 (0y) | |
| John Conrad Buser | Registered representative | Apr 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 987 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • FINANCIAL PLANNING
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $1.0B (75% of AUM) Mar 2026
- Charles Schwab & Co. $32.4M (2% of AUM) Mar 2026
- Td Securities Inc. $2.2M (0% of AUM) Apr 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗