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Stephen Chow

Pinnacle Investments, LLC
54 Years of Experience
Estero, FL
10 DisclosuresBroker
View SEC Summary
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Stephen Chow is a registered investment advisor at Pinnacle Investments, LLC, based in Estero, FL, with 54 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Charitable Giving, Education Planning, and 7 more. Their firm serves 3,143 clients with $1.3B in assets under management.

Pinnacle Investments, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
57 advisors
Number of Clients
3,143 clients
Average Client Portfolio
$412K average
Assets Under Management
$1.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$100
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

The 3.00% annual rate is maximum and negotiable based on account size, investment complexity, use of sub-advisors, and level of service required. Minimum annual program fee is $100.00.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Estero, FL

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008
Withdrawn
Customer Dispute
September 2006
Denied
Customer Dispute
March 2006
Settled
Customer Dispute
November 2003
Settled
Customer Dispute
August 2002
Denied
Customer Dispute
June 2002
Denied
Customer Dispute
February 2002
Denied
Customer Dispute
January 2002
Denied
Customer Dispute
November 2001
Settled
Customer Dispute
June 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is a board member of the Update Medical University Foundation. He spends minimal time on this activity and receives no compensation.

Employment History
Current Registrations
Pinnacle Investments, LLC
October 2016 - Present · 10 yrs
Pinnacle Investments, LLCBroker
May 2013 - Present · 13 yrs 5 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - July 2012 · 3 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
April 1984 - July 1993 · 9 yrs 3 mos
Bache Halsey Stuart INC.Broker
January 1977 - September 1977 · 8 mos
Reynolds Securities, INC.Broker
October 1975 - February 1977 · 1 yr 4 mos
Travelers Equities Sales, INC.Broker
September 1971 - August 1975 · 3 yrs 11 mos
Prudential-Bache Securities INC.Broker
September 1971 - May 1984 · 12 yrs 8 mos
State Registrations11 states
CAFLGAILMNNCNJNYOHTNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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