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PINNACLE ASSOCIATES LTD — 13F Holdings & Portfolio

CIK 743127 · latest 13F-HR filed 2026-10-20

Backtest portfolio

PINNACLE ASSOCIATES LTD manages $8.92B in 13F-reported U.S. long-equity assets across 961 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are JNJ (4.91%), AAPL (4.49%), MSFT (2.55%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 55 new positions and exited 66; 243 existing positions rose in reported value and 399 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$8.92B

Long-equity book

Holdings
961

Distinct positions

Period
2026-09-30

Filed 2026-10-20

Q/Q Activity
+55 / −66 / ↑243 / ↓399

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
JNJ4.9% · -0%AAPL4.5% · -1%MSFT2.5% · +2%NVDA2.4% · -1%MU2.3% · -11%META1.8% · +10%AVGO1.7% · -2%QQQ1.6% · -0%SPY1.6% · -1%VTI1.6% · -0%AMZN1.5% · +1%VB1.5% · +1%JPM1.5% · -4%GOOGL1.3% · +2%GOOG1.3% · -0%IVV1.2% · +1%QUAL1.1% · -2%VEU1.0% · +1%VYM1.0% · +0%CAT0.9% · -6%MS0.9% · -1%LRCX0.9% · -2%CSCO0.8% · -1%LLY0.8% · +2%MRK0.8% · -1%COHR0.8% · -7%V0.7% · -1%REGN0.7% · 0%VGT0.6% · -1%BRK.B0.6% · -1%ETN0.6% · -2%LITE0.6% · +5%SCHD0.6% · +3%WMT0.6% · -2%AXP0.5% · -1%ABBV0.5% · -1%BAC0.5% · -2%BE0.5% · -4%HD0.5% · -0%GLNG0.5% · +2%RCL0.5% · +6%C0.5% · -2%RTX0.5% · -1%BLK0.5% · -3%JEPI0.5% · +0%QRVO0.5% · +4%MANU0.5% · +33%XOM0.4% · -2%VICR0.4% · +5%GLW0.4% · -1%AMAT0.4% · -21%IBM0.4% · +4%MDY0.4% · -2%CVX0.4% · -1%CIBR0.4% · +2%MSGS0.4% · +3%QLTY0.4% · +0%RSP0.4% · +1%DGRW0.4% · +5%ORCL0.4% · +5%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 25.1%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Oct 8, 2019.

Assets Under Management
$38.05B
Discretionary
$38.05B
Employees
70
Accounts
13
Address
LEVEL 35
60 MARGARET STREET
SYDNEY, NEW SOUTH WALES NSW 2000
Australia
Phone
61-1300-651-577
Website
Mailing Address
P.O. BOX R1313, ROYAL EXCHANGE, NEW SOUTH WALES, NSW 1225, Australia
Name Title / Status Ownership Type
Chambers, Andrew, Chisholm ControlEXECUTIVE DIRECTOR, INSTITUTIONAL DISTRIBUTION
since Aug 2016
Less than 5%Individual
IHLENFELDT, ALEX, NMN ControlCHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER
since Feb 2011
Less than 5%Individual
KWOK, CALVIN, NMN ControlCHIEF LEGAL, RISK AND COMPLIANCE OFFICER
since Jan 2018
Less than 5%Individual
MACOUN, IAN, NMN ControlMANAGING DIRECTOR
since Aug 2006
Less than 5%Individual
PINNACLE INVESTMENT MANAGEMENT GROUP LIMITED ControlSHAREHOLDER
since Jun 2004
75% or moreForeign Entity
WHITTINGHAM, ADRIAN, BATHURST ControlEXECUTIVE DIRECTOR, RETAIL DISTRIBUTION
since Aug 2016
Less than 5%Individual
Ownership & leadership changes · 1 filing with changes since May 24, 2019

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Oct 8, 2019 filing
  • No longer listedO'Callaghan, Thomas, Alexander · CHIEF RISK & COMPLIANCE OFFICER · Less than 5% · control person · listed since Mar 2018
  • ChangedKWOK, CALVIN, NMN · title GENERAL COUNSEL AND COMPANY SECRETARY → CHIEF LEGAL, RISK AND COMPLIANCE OFFICER
May 24, 2019 filing (earliest on record)
  • ListedChambers, Andrew, Chisholm · EXECUTIVE DIRECTOR, INSTITUTIONAL DISTRIBUTION · Less than 5% · control person
  • ListedIHLENFELDT, ALEX, NMN · CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER · Less than 5% · control person
  • ListedKWOK, CALVIN, NMN · GENERAL COUNSEL AND COMPANY SECRETARY · Less than 5% · control person
  • ListedMACOUN, IAN, NMN · MANAGING DIRECTOR · Less than 5% · control person
  • ListedO'Callaghan, Thomas, Alexander · CHIEF RISK & COMPLIANCE OFFICER · Less than 5% · control person
  • ListedPINNACLE INVESTMENT MANAGEMENT GROUP LIMITED · SHAREHOLDER · 75% or more · control person
  • ListedWHITTINGHAM, ADRIAN, BATHURST · EXECUTIVE DIRECTOR, RETAIL DISTRIBUTION · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

PINNACLE ASSOCIATES LTD Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 JOHNSON & JOHNSON JNJ 478160104 $437.9M 4.91% 1,653,904 SH
2 APPLE INC AAPL 037833100 $400.9M 4.49% 1,203,737 SH
3 MICROSOFT CORP MSFT 594918104 $227.3M 2.55% 443,121 SH
4 NVIDIA CORPORATION NVDA 67066G104 $215.7M 2.42% 944,480 SH
5 MICRON TECHNOLOGY INC MU 595112103 $205.6M 2.30% 192,994 SH
6 META PLATFORMS INC META 30303M102 $162.5M 1.82% 224,133 SH
7 BROADCOM INC AVGO 11135F101 $155.9M 1.75% 443,809 SH
8 INVESCO QQQ TR QQQ 46090E103 $146.4M 1.64% 197,856 SH
9 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $143.9M 1.61% 188,664 SH
10 VANGUARD INDEX FDS VTI 922908769 $141.1M 1.58% 377,148 SH
11 AMAZON COM INC AMZN 023135106 $137.6M 1.54% 552,340 SH
12 VANGUARD INDEX FDS VB 922908751 $133.4M 1.50% 469,034 SH
13 JPMORGAN CHASE & CO JPM 46625H100 $131.1M 1.47% 396,243 SH
14 ALPHABET INC GOOGL 02079K305 $119.9M 1.34% 348,505 SH
15 ALPHABET INC GOOG 02079K107 $115.9M 1.30% 340,239 SH
16 ISHARES TR IVV 464287200 $109.8M 1.23% 143,389 SH
17 ISHARES TR QUAL 46432F339 $94.9M 1.06% 426,816 SH
18 VANGUARD INTL EQUITY INDEX F VEU 922042775 $90.5M 1.01% 1,090,714 SH
19 VANGUARD WHITEHALL FDS VYM 921946406 $86.8M 0.97% 559,099 SH
20 CATERPILLAR INC CAT 149123101 $83.7M 0.94% 103,212 SH
21 MORGAN STANLEY MS 617446448 $83.6M 0.94% 444,711 SH
22 LAM RESEARCH CORP LRCX 512807306 $82.6M 0.93% 251,376 SH
23 CISCO SYS INC CSCO 17275R102 $75.0M 0.84% 696,388 SH
24 ELI LILLY & CO LLY 532457108 $73.4M 0.82% 63,439 SH
25 MERCK & CO INC MRK 58933Y105 $69.9M 0.78% 481,066 SH
26 COHERENT CORP COHR 19247G107 $67.0M 0.75% 232,739 SH
27 VISA INC V 92826C839 $63.2M 0.71% 175,835 SH
28 REGENERON PHARMACEUTICALS REGN 75886F107 $61.6M 0.69% 81,285 SH
29 VANGUARD WORLD FD VGT 92204A702 $56.1M 0.63% 446,428 SH
30 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $52.9M 0.59% 106,140 SH
31 EATON CORP PLC ETN G29183103 $52.7M 0.59% 122,542 SH
32 LUMENTUM HLDGS INC LITE 55024U109 $52.6M 0.59% 54,132 SH
33 SCHWAB STRATEGIC TR SCHD 808524797 $51.0M 0.57% 1,566,898 SH
34 WALMART INC WMT 931142103 $49.3M 0.55% 473,934 SH
35 AMERICAN EXPRESS CO AXP 025816109 $48.5M 0.54% 159,352 SH
36 ABBVIE INC ABBV 00287Y109 $48.3M 0.54% 184,831 SH
37 BANK OF AMER CORP BAC 060505104 $46.9M 0.53% 862,311 SH
38 BLOOM ENERGY CORP BE 093712107 $46.5M 0.52% 168,039 SH
39 HOME DEPOT INC HD 437076102 $44.0M 0.49% 154,719 SH
40 GOLAR LNG LTD GLNG G9456A100 $43.5M 0.49% 915,619 SH
41 ROYAL CARIBBEAN GROUP RCL V7780T103 $42.8M 0.48% 160,952 SH
42 CITIGROUP INC C 172967424 $41.9M 0.47% 323,837 SH
43 RTX CORPORATION RTX 75513E101 $41.9M 0.47% 225,563 SH
44 BLACKROCK INC BLK 09290D101 $41.7M 0.47% 39,409 SH
45 J P MORGAN EXCHANGE TRADED F JEPI 46641Q332 $41.1M 0.46% 731,398 SH
46 QORVO INC QRVO 74736K101 $40.5M 0.45% 354,033 SH
47 MANCHESTER UTD PLC NEW MANU G5784H106 $40.3M 0.45% 1,925,251 SH
48 EXXONMOBIL HOLDINGS CORP XOM 30233Q108 $40.1M 0.45% 246,362 SH
49 VICOR CORP VICR 925815102 $39.8M 0.45% 137,585 SH
50 CORNING INC GLW 219350105 $39.6M 0.44% 257,751 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-20 $8.92B 961 0000743127-26-000005
2026-06-30 2026-08-03 $9.16B 972 0000743127-26-000003
2026-03-31 2026-04-22 $7.78B 960 0000743127-26-000002
2025-12-31 2026-02-05 $7.79B 936 0000743127-26-000001
Filer Information
Address
335 MADISON AVENUE
11TH FLOOR
NEW YORK, NY 10017
Phone
(212) 652-3200
Filing Manager
PINNACLE ASSOCIATES LTD
NEW YORK, NY
Signatory
Scott M. Brown
General Counsel & CCO