Pinnacle Peak Private Client Group, LLC

CRD#282003
Investment Advisor Firm

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Overview

Pinnacle Peak Private Client Group, LLC operates as an advisory company located in Scottsdale, Arizona. The firm controls $121.8 million in assets under management across 636 accounts, placing it in the mid-tier of financial advisory firms in the United States by assets under management (AUM). It has a small group of four employees, including three financial advisors. Pinnacle Peak Private Client Group, LLC does not act as a registered broker-dealer, meaning the firm is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are tradable fiscal investments such as bonds, stocks and options.

Pinnacle Peak Private Client Group, LLC administers most of its accounts in a discretionary manner. Discretionary management means that a portfolio manager makes transaction choices for the client's account without needing client approval. The firm also has 10 non-discretionary accounts totaling $2.7 million in assets under management. The investment advisory firm's average account size is $191,580. An average advisor at Pinnacle Peak Private Client Group, LLC manages about 212 client accounts.

The firm's main office is located at 18867 N. Thompson Peak Parkway, Scottsdale, Arizona 85255. The company is registered to provide services to investors across a few states, including Arizona, California, Georgia, Louisiana, New Hampshire and Texas.

Assets Under Management

$121.8 million

Number of Advisors

3

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

18867 N. Thompson Peak Parkway
Scottsdale, AZ 85255

Pinnacle Peak Private Client Group, LLC by the Numbers

Total Assets Under Management

$121.8 million

National Average: $3.3 billion
Total Number of Employees

4

National Average: 4,943
Total Number of Accounts

636

National Average: 2,522
Average Account Size

$191.6 thousand

National Average: $1.3 million

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Products and Services

Pinnacle Peak Private Client Group, LLC offers a variety of services, which can consist of financial planning services, portfolio management for individuals and small businesses and pension consulting services. Notably, it did not provide financial planning services to any of its customers in the previous fiscal year. The company is involved in selling products or offering services different than investment advice to its clients. Pinnacle Peak Private Client Group, LLC is also affiliated with a number of other companies in the financial services industry, including with an insurance company or agency.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 63% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees charged by financial advisors usually depend on the financial services offered. However, fees charged by the firm may include some blend of the following fee structures: asset-based, hourly or fixed. Pinnacle Peak Private Client Group, LLC does participate in a wrap fee program, in which the company offers a service bundle for a single fee.

Available

  • Offered by 75% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 37% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 3% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Pinnacle Peak Private Client Group, LLC works with retail investors, high net worth investors and pension plans. Out of its 636 accounts, Pinnacle Peak Private Client Group, LLC's largest client group is retail investors, but it also caters to 31 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 4.95%
  • Other Individuals - 94.09%
  • Corporations - 0.96%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Pinnacle Peak Private Client Group, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA