Pinnacle Capital Management

Pinnacle Capital Management operates as an investment manager that primarily oversees pooled vehicles and institutional assets while also maintaining relationships with a small number of individual, non-high-net-worth clients, an arrangement that is less common among peers in this category. The firm provides investment management and related advisory services and makes disclosure documents and Brochures available to clients and prospective clients.

The firm generally uses percentage-of-AUM billing and directs clients toward a recommended custodian (Interactive Brokers) while allowing clients to select their own broker-dealer or custodian. Its brochure discloses a Code of Ethics, ongoing monitoring of employee trading to address conflicts, a policy of not receiving soft-dollar compensation, and a prohibition on principal or agency cross transactions.

Compared with many peers, the firm is modest in scale (about $1.5 million in assets under management) and highlights the principal’s prior accounting, taxation and auditing experience from a career in CPA firms before entering investment advisory work. The combination of an institutional/pooled focus with the acceptance of non-HNW individual clients, transparent custodian choice, and explicit conflict-management practices are the more notable features called out in its disclosure.