PEAK PLANNING GROUP, LLC
Adviser information for PEAK PLANNING GROUP, LLC last updated from Form ADV on February 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,106 | $270.9M |
| Non-Discretionary | 1 | $1.3M |
| Total | 1,107 | $272.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 353 | $162.1M |
| HNW Individuals | 97 | $108.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 2 | $1.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 266.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PEAK PLANNING GROUP LLC | PEAK PLANNING GROUP, LLC |
Identifiers
| SEC RIA File Number | 801-111771 |
|---|---|
| SEC ERA File Number | 801-111771 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289891 |
| Legal Entity Identifier | None |
Principal Office
5975 SOUTH QUEBEC STREETSUITE 310
CENTENNIAL
CO
United States
Monday - Friday, 7:30 AM TO 5 PM
Tel: 303-991-0056, Fax: 303-991-0058
Websites
Chief Compliance Officer
PJ PATIERNO
PRESIDENT
5975 SOUTH QUEBEC STREET
SUITE 310
CENTENNIAL
CO
United States
Tel:
303-991-0056
Fax:
303-991-0058
P*@***********M
(Full email address available in API data)
Regulatory Contact
SPENCER WYNANT
1 PAGE AVENUE
SUITE 208
ASHEVILLE
NC
United States
Tel:
303-991-0056
Fax:
303-991-0058
S******@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PATIERNO, LOUIS, PETER | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 02/2002 | > 75% |
| Wynant, Spencer | Individual | – | PARTNER | 12/2020 | 10-25% |