Who We Are
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Private Placements
We specialize in private placement offerings and other exempt offering types. Our work includes navigating regulations, offer structuring, and distribution.
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We have investment banking and M&A expertise and registered representatives (reps) who specialize in this business area. We also offer a rep program for experienced investment banking and M&A reps seeking regulatory registration services.
Investment Banking / M&A
Business Financing & Real Estate Capital
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We have investment banking and M&A expertise and registered representatives (reps) who specialize in this business area. We also offer a rep program for experienced investment banking and M&A reps seeking regulatory registration services.
15A-6 Chaperoning Services for Foreign BDs
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We have investment banking and M&A expertise and registered representatives (reps) who specialize in this business area. We also offer a rep program for experienced investment banking and M&A reps seeking regulatory registration services.
Distribution & MBD Services
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Attracting the right investors is a common struggle for companies raising capital. We have proven capabilities and offer our distribution services via passionate, high-performing, credentialed, and licensed wholesalers. We couple our distribution with managing broker-dealer (MBD) support (also called dealer-manager and syndicate manager services). Our MBD services include guidance, regulatory compliance, selling group management, and investor management.
Wholesaler Support
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We offer support services to independent wholesalers and third-party marketers who solicit broker-dealers, registered investment advisor (RIA) firms, family offices, and institutional investors.
EB-5 Investments
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We offer EB-5 private placement services to Issuers of EB-5-qualified offerings. The EB-5 program allows non-US citizens to obtain a Green Card (permanent US residence status) by making EB-5-qualified investments.
Registered Representative Program
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We provide independent reps support to execute their business model and conduct securities transactions. Our BD support includes oversight, compliance, administrative services, documentation, and technology support. We are looking for reps with Series 7, 79, or 82 licenses. For qualified individuals, we can help you through the FINRA registration process. We may also selectively sponsor groups that must register their capital markets employees.
Institutional Markets
Private Markets
Building a Seamless Network of Trust
Our elite team delivers a comprehensive range of broker-dealer (BD) services. We prioritize diligence, transparency, and accountability in order to intermediate effective and productive partnerships between financial professionals.
Trust Pinnacle when it matters most.
Bill Davis
CEO & CCO
JP Parker
COO
Ana Carter
CFO & FINOP
David Vicini
Chief Investment Officer
Darren Whissen
EVP, Capital Markets
T.K. Frantz
Registered Principal
Robert Smith
Registered Principal
Events
The Alts Forum
The Alts Forum, presented by Pinnacle, is a one-of-a-kind event that provides RIAs with practical education, peer collaboration, and access to best-in-class alternative investment managers.
The Alts Forum combines immersive compliance and practice management workshops with short-duration one-on-one meetings with “RIA friendly” alternative investment managers.
Our Services
Get In Touch
Global Headquarters
4105 E Broadway,
Suite 102
Long Beach, CA 90803
Founded in 1992, Pinnacle Capital Group is a veteran-led and owned boutique financial complex consisting of a Broker-Dealer (BD), Registered Investment Advisor (RIA), and Commodities Trading Advisor (CTA). We specialize in private (non-public) investment securities and operate in institutional, retail, and private markets. Our team includes experienced financial advisors with backgrounds in law, business, securities, and investment banking.
We provide regulatory and compliance oversight services to experienced brokers, advisors, and CTAs who primarily work with institutional clients. In addition, we provide distribution and managing broker-dealer (MBD) services to asset managers and private funds. We also offer 15a-6 chaperone services to non-U.S. financial entities.
Important Links
Securities offered through Pinnacle Capital Securities, LLC, Broker-Dealer, Member, FINRA/SIPC. Advisory Services offered through Pinnacle Capital Advisors, LLC, a Registered Investment Advisor and CFTC registered, NFA member CTA.