PINNACLE ASSOCIATES LTD

Filed: 10/24/2023ACC: 0001085146-23-003854

📋 What this filing means

PINNACLE ASSOCIATES LTD filed this quarterly 13F‑HR report disclosing 811 equity positions with a total reported market value of $5.38B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

811

Positions

$5.38B

Total AUM (reported)

96.84M

Total Shares

Allocation by class

COM$3.46B64.3%

CL A$167.36M3.1%

COM NEW$137.87M2.6%

SHS$134.37M2.5%

TR UNIT$87.18M1.6%

SMALL CP ETF$72.97M1.4%

COM CL A$65.09M1.2%

Portfolio Concentration

Top 3$590.42M11.0%

4–10$469.67M8.7%

11–25$718.46M13.4%

Rest$3.60B66.9%

Top 3 weight

11.0%

Top 10 weight

19.7%

Voting Authority Distribution

Total shares with voting rights: 96.84M

Sole

Full voting authority

95.06M

% of voting shares98.2%

Shared

Joint voting authority

2.16K

% of voting shares0.0%

None

No voting authority

1.78M

% of voting shares1.8%

Investment Discretion (by position count)

Sole795

Shared0

Other16

Dominant voting typeSole · 98.2% of voting shares

Institutional Holdings811

Rows:

APPLE INC

SOLE

COM

Shares1.34M

TypeSH

Market value$229.58M

4.27%

Sole

1.32M

Shared

0.00

None

19.10K

JOHNSON & JOHNSON

SOLE

COM

Shares1.31M

TypeSH

Market value$203.43M

3.78%

Sole

1.30M

Shared

25.00

None

9.45K

MICROSOFT CORP

SOLE

COM

Shares498.52K

TypeSH

Market value$157.41M

2.93%

Sole

486.32K

Shared

25.00

None

12.17K

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares203.94K

TypeSH

Market value$87.18M

1.62%

Sole

151.43K

Shared

0.00

None

52.51K

VANGUARD INDEX FDS

SOLE

SMALL CP ETF

Shares385.96K

TypeSH

Market value$72.97M

1.36%

Sole

370.72K

Shared

0.00

None

15.24K

JPMORGAN CHASE & CO

SOLE

COM

Shares478.66K

TypeSH

Market value$69.42M

1.29%

Sole

467.15K

Shared

0.00

None

11.51K

AMAZON COM INC

SOLE

COM

Shares502.58K

TypeSH

Market value$63.89M

1.19%

Sole

494.69K

Shared

0.00

None

7.89K

INVESCO QQQ TR

OTR

UNIT SER 1

Shares168.96K

TypeSH

Market value$60.53M

1.13%

Sole

134.39K

Shared

0.00

None

34.57K

BROADCOM INC

SOLE

COM

Shares72.42K

TypeSH

Market value$60.15M

1.12%

Sole

72.19K

Shared

0.00

None

222.00

REGENERON PHARMACEUTICALS

SOLE

COM

Shares67.48K

TypeSH

Market value$55.54M

1.03%

Sole

67.29K

Shared

0.00

None

195.00

ALPHABET INC

SOLE

CAP STK CL C

Shares410.24K

TypeSH

Market value$54.09M

1.01%

Sole

404.95K

Shared

0.00

None

5.29K

LAM RESEARCH CORP

SOLE

COM

Shares85.96K

TypeSH

Market value$53.88M

1.00%

Sole

84.08K

Shared

0.00

None

1.88K

ISHARES TR

SOLE

CORE S&P500 ETF

Shares120.20K

TypeSH

Market value$51.62M

0.96%

Sole

119.74K

Shared

0.00

None

461.00

VANGUARD WHITEHALL FDS

SOLE

HIGH DIV YLD

Shares489.80K

TypeSH

Market value$50.61M

0.94%

Sole

476.80K

Shared

0.00

None

13K

MERCK & CO INC

SOLE

COM

Shares475.16K

TypeSH

Market value$48.92M

0.91%

Sole

460.18K

Shared

100.00

None

14.88K

VISA INC

SOLE

COM CL A

Shares211.52K

TypeSH

Market value$48.65M

0.90%

Sole

203.13K

Shared

0.00

None

8.38K

ISHARES TR

SOLE

MSCI USA QLT FCT

Shares368.87K

TypeSH

Market value$48.61M

0.90%

Sole

366.25K

Shared

0.00

None

2.63K

ALPHABET INC

SOLE

CAP STK CL A

Shares369.13K

TypeSH

Market value$48.30M

0.90%

Sole

356.13K

Shared

0.00

None

13.01K

XYLEM INC

SOLE

COM

Shares512.67K

TypeSH

Market value$46.67M

0.87%

Sole

511.47K

Shared

0.00

None

1.20K

SCHWAB STRATEGIC TR

SOLE

US DIVIDEND EQ

Shares654.01K

TypeSH

Market value$46.28M

0.86%

Sole

607.42K

Shared

0.00

None

46.59K

HOME DEPOT INC

SOLE

COM

Shares148.34K

TypeSH

Market value$44.82M

0.83%

Sole

143.12K

Shared

17.00

None

5.21K

VANGUARD INDEX FDS

SOLE

TOTAL STK MKT

Shares209.44K

TypeSH

Market value$44.49M

0.83%

Sole

208.26K

Shared

0.00

None

1.18K

VANGUARD INTL EQUITY INDEX F

SOLE

ALLWRLD EX US

Shares853.45K

TypeSH

Market value$44.27M

0.82%

Sole

848.45K

Shared

0.00

None

NVIDIA CORPORATION

SOLE

COM

Shares101.05K

TypeSH

Market value$43.96M

0.82%

Sole

95.16K

Shared

0.00

None

5.89K

CISCO SYS INC

OTR

COM

Shares805.55K

TypeSH

Market value$43.31M

0.80%

Sole

784.29K

Shared

0.00

None

21.26K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	Shared	None
APPLE INCSOLE	COM	1.34M	SH	$229.58M 4.27%	1.32M	0.00	19.10K
JOHNSON & JOHNSONSOLE	COM	1.31M	SH	$203.43M 3.78%	1.30M	25.00	9.45K
MICROSOFT CORPSOLE	COM	498.52K	SH	$157.41M 2.93%	486.32K	25.00	12.17K
SPDR S&P 500 ETF TRSOLE	TR UNIT	203.94K	SH	$87.18M 1.62%	151.43K	0.00	52.51K
VANGUARD INDEX FDSSOLE	SMALL CP ETF	385.96K	SH	$72.97M 1.36%	370.72K	0.00	15.24K
JPMORGAN CHASE & COSOLE	COM	478.66K	SH	$69.42M 1.29%	467.15K	0.00	11.51K
AMAZON COM INCSOLE	COM	502.58K	SH	$63.89M 1.19%	494.69K	0.00	7.89K
INVESCO QQQ TROTR	UNIT SER 1	168.96K	SH	$60.53M 1.13%	134.39K	0.00	34.57K
BROADCOM INCSOLE	COM	72.42K	SH	$60.15M 1.12%	72.19K	0.00	222.00
REGENERON PHARMACEUTICALSSOLE	COM	67.48K	SH	$55.54M 1.03%	67.29K	0.00	195.00
ALPHABET INCSOLE	CAP STK CL C	410.24K	SH	$54.09M 1.01%	404.95K	0.00	5.29K
LAM RESEARCH CORPSOLE	COM	85.96K	SH	$53.88M 1.00%	84.08K	0.00	1.88K
ISHARES TRSOLE	CORE S&P500 ETF	120.20K	SH	$51.62M 0.96%	119.74K	0.00	461.00
VANGUARD WHITEHALL FDSSOLE	HIGH DIV YLD	489.80K	SH	$50.61M 0.94%	476.80K	0.00	13K
MERCK & CO INCSOLE	COM	475.16K	SH	$48.92M 0.91%	460.18K	100.00	14.88K
VISA INCSOLE	COM CL A	211.52K	SH	$48.65M 0.90%	203.13K	0.00	8.38K
ISHARES TRSOLE	MSCI USA QLT FCT	368.87K	SH	$48.61M 0.90%	366.25K	0.00	2.63K
ALPHABET INCSOLE	CAP STK CL A	369.13K	SH	$48.30M 0.90%	356.13K	0.00	13.01K
XYLEM INCSOLE	COM	512.67K	SH	$46.67M 0.87%	511.47K	0.00	1.20K
SCHWAB STRATEGIC TRSOLE	US DIVIDEND EQ	654.01K	SH	$46.28M 0.86%	607.42K	0.00	46.59K
HOME DEPOT INCSOLE	COM	148.34K	SH	$44.82M 0.83%	143.12K	17.00	5.21K
VANGUARD INDEX FDSSOLE	TOTAL STK MKT	209.44K	SH	$44.49M 0.83%	208.26K	0.00	1.18K
VANGUARD INTL EQUITY INDEX FSOLE	ALLWRLD EX US	853.45K	SH	$44.27M 0.82%	848.45K	0.00	5K
NVIDIA CORPORATIONSOLE	COM	101.05K	SH	$43.96M 0.82%	95.16K	0.00	5.89K
CISCO SYS INCOTR	COM	805.55K	SH	$43.31M 0.80%	784.29K	0.00	21.26K

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