We look forward to meeting with you soon. In the meantime, we’ve compiled a list of frequently asked questions that should help address any immediate questions you may have.

What has changed?

We have launched our independent wealth management firm, Pinnacle Private Wealth Advisors, in partnership with LPL Financial. LPL is the nation’s largest independent broker/dealer* overall, and third largest custodian of assets**, supporting over 21,000 independent advisors. As our client, you have your own considerations and priorities, so we will continue tailoring plans to your specific needs—that has not changed.

What motivated you to launch Pinnacle?

Our team is dedicated to staying ahead of the curve, so that we can better serve our clients and ensure our practice reflects the evolving trends and opportunities within the industry. Our partnership with LPL allows us the independence we need to provide more personalized attention and customized plans. As our broker/dealer, LPL provides the technology, resources, and investment choices necessary to provide options that are tailored just for you.

Why did you choose LPL Financial as your broker/dealer?

We decided to launch our independent firm by affiliating with LPL Financial – a Fortune 500 company and one of the largest financial service firms in the country, safeguarding over $1 trillion in client assets.*** This arrangement will allow us to utilize the strength and leverage of a major firm, while allowing us to build our own culture, team, and resources to best partner with you.

LPL’s comprehensive support, technology, and research, along with their model of transparency and dedication to independence and choice, allows us to provide you with a wide range of diligently evaluated, non-proprietary products. In fact, you will now have access to many investment options that previously were not available to you by virtue of LPL’s scale. As a leader in the retail financial advice market, we are confident that we are being fully supported by a firm who can match our high standards.

What should I expect in a transition to Pinnacle?

You can expect a smooth and transparent process as we make this transition together. None of your investments will need to be sold in the process of a transfer. We will communicate with you throughout theprocess of your account transfer, and will discuss with you how this change will positively impact your experience with us.

Where will my assets be held, and how safe will they be?

As a Financial Industry Regulatory Authority (FINRA) member firm, subject to the federal securities laws and the rules of industry self-regulatory organizations, LPL Financial prioritizes its obligations to protect client assets in their custody with the utmost care and scrupulous adherence to financial protection rules, including those governing the segregation of client assets.

LPL provides an enormous catalog of services and resources, as well as a long history of financial stability. The LPL Financial SIPC Membership provides account protection up to a maximum of $500,000 per customer, of which $250,000 may be claims for cash. An explanatory brochure is available at www.sipc.org. Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of customer accounts up to an overall aggregate firm limit of $750,000,000 subject to conditions and limitations. The account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.

How is my personal information protected?

To protect your personal information from unauthorized access and use, LPL Financial uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. LPL’s online environment uses security technologies, including layered security and access controls over personal information. For further information, please visit LPL’s Privacy/Security page at: www.lpl.com/disclosures/privacy-security.html

Has your investment process changed since you launched Pinnacle?

Because we are an independent firm, we are not limited in our access to research, planning, and portfolio construction capabilities. This freedom of choice empowers us to do more for clients.

*Based on total revenues, Financial Planning magazine, June 1996 – 2022.
**Cerulli Associate, 2019 U.S. RIA Marketplace Report.
***Includes 578M in advisory assets as of June 30, 2021

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