Hedge Fund Database

REGENT PEAK WEALTH ADVISORS, LLC

Adviser information for REGENT PEAK WEALTH ADVISORS, LLC last updated from Form ADV on March 1st, 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 Delaware, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,439 $611.5M
Non-Discretionary 0 $0
Total 1,439 $611.5M

Clients

Type Number RAUM
Individuals 51 $18.9M
HNW Individuals 133 $530.6M
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 0 $0
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 8 $49.3M
Other 7 $12.7M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-115021
SEC ERA File Number 801-115021
SEC CIK Numbers 1803329
SEC CRD Numbers 298259
Legal Entity Identifier None

Principal Office

200 GALLERIA PKWY SE
SUITE 1175
ATLANTA
GA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 470-867-3550, Fax: 470-867-3579

Websites

www.youtube.com/channel/ucny-iwjoi8rr2bjetcvku7w/about www.linkedin.com/company/regent-peak-wealth-advisors/ www2.regentpeakwealth.com/join-us/ www.facebook.com/regent-peak-450149915757907/ twitter.com/regentpeak?lang=en regentpeakwealth.com

Chief Compliance Officer

CARMEN LASTER
200 GALLERIA PKWY SE
SUITE 1175
ATLANTA
GA
United States
Tel: 470-867-3552
(Full email address available in API data)

Regulatory Contact

CRAIG ROBSON
FOUNDING PRINCIPAL & MANAGING DIRECTOR
200 GALLERIA PKWY SE
SUITE 1175
ATLANTA
GA
United States
Tel: 470-867-3551
(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
LASTER, CARMEN, LEE Individual – CHIEF COMPLIANCE OFFICER 03/2019 < 5%
ROBSON, CRAIG, NICHOLAS Individual – FOUNDING PRINCIPAL/MANAGING DIRECTOR 05/2019 > 75%
RAYMOND, EMILY, RENAE Individual – CHIEF OPERATING OFFICER 05/2019 < 5%
Hoyt, Nathan, Ross Individual – CHIEF INVESTMENT OFFICER 05/2019 < 5%
MANNING, KEVIN, NICHOLAS Individual – CHIEF FINANCIAL OFFICER 05/2019 5-10%

No. Employees, Historic

105020192020202120222023202420255 on 5/3/20195 on 5/3/20195 on 5/22/20195 on 8/27/20195 on 9/24/20195 on 3/27/20205 on 6/8/20205 on 7/1/20205 on 10/20/20205 on 11/12/20206 on 3/23/20216 on 9/1/20216 on 11/3/20218 on 3/11/20228 on 12/6/20228 on 3/16/202310 on 8/3/202310 on 11/10/202310 on 11/10/202310 on 2/29/202410 on 3/1/2024

RAUM, Historic

700M350M020192020202120222023202420250 on 5/3/20190 on 5/3/20190 on 5/22/2019222087264 on 8/27/2019222087264 on 9/24/2019302603754 on 3/27/2020302603754 on 6/8/2020302603754 on 7/1/2020302603754 on 10/20/2020302603754 on 11/12/2020424145789 on 3/23/2021424145789 on 9/1/2021424145789 on 11/3/2021574921807 on 3/11/2022574921807 on 12/6/2022531979144 on 3/16/2023531979144 on 8/3/2023531979144 on 11/10/2023531979144 on 11/10/2023611492317 on 2/29/2024611492317 on 3/1/2024

No. Clients, Historic

1,000500020192020202120222023202420250 on 5/3/20190 on 5/3/20190 on 5/22/2019779 on 8/27/2019779 on 9/24/2019986 on 3/27/2020986 on 6/8/2020986 on 7/1/2020986 on 10/20/2020986 on 11/12/2020150 on 3/23/2021150 on 9/1/2021150 on 11/3/2021187 on 3/11/2022187 on 12/6/2022184 on 3/16/2023184 on 8/3/2023184 on 11/10/2023184 on 11/10/2023199 on 2/29/2024199 on 3/1/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM 9M 49K –
PRUDENTIAL FINL INC COM 217K 2K –
INVESCO QQQ TR UNIT SER 1 1M 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 814K 4K –
STARBUCKS CORP COM Stock 2M 28K –
ELEVANCE HEALTH INC COM 467K 862 –
JOHNSON & JOHNSON COM 3M 18K –
WASTE MGMT INC DEL COM 248K 1K –
VANGUARD INDEX FDS TOTAL STK MKT 49M 182K –
COSTCO WHSL CORP NEW COM 1M 2K –
GOLDMAN SACHS GROUP INC COM 291K 644 –
PROCTER AND GAMBLE CO COM 2M 11K –
COCA COLA CO COM 4M 164K –
UNITED PARCEL SERVICE INC CL B 251K 2K –
VANGUARD INDEX FDS REAL ESTATE ETF 395K 5K –
INTEL CORP COM 391K 13K –
CME GROUP INC COM 281K 1K –
NETFLIX INC COM 937K 1K –
PAYCHEX INC COM 229K 2K –
PACCAR INC COM 275K 3K –
SPDR SER TR S&P SEMICNDCTR 885K 4K –
MERCK & CO INC COM 3M 28K –
SPDR S&P 500 ETF TR TR UNIT 6M 12K –
MCKESSON CORP COM 249K 426 –
MASTERCARD INCORPORATED CL A 764K 2K –
ILLINOIS TOOL WKS INC COM 24M 10K –
PERMIAN RESOURCES CORP CLASS A COM 2M 13K –
ALLSTATE CORP COM 3M 2K –
VERTEX PHARMACEUTICALS INC COM 260K 554 –
VERIZON COMMUNICATIONS INC COM 329K 8K –
CHUBB LIMITED COM 3M 1K –
FEDEX CORP COM 338K 1K –
PEPSICO INC COM 3M 16K –
HONEYWELL INTL INC COM 3M 13K –
FORD MTR CO DEL COM 232K 18K –
HOME DEPOT INC COM 4M 12K –
AUTOMATIC DATA PROCESSING IN COM 3M 11K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 599K 4K –
INFOSYS LTD SPONSORED ADR 2M 125K –
SOUTHERN CO COM 1M 19K –
ISHARES TR RUS 1000 GRW ETF 12M 33K –
SCHWAB STRATEGIC TR US BRD MKT ETF 2M 28K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 10K –
ADOBE INC COM 703K 1K –
ALPHABET INC CAP STK CL A 4M 23K –
PROGRESSIVE CORP COM 4M 19K –
FISERV INC COM 3M 2K –
INTUIT COM 761K 1K –
CSX CORP COM 276K 8K –
COMCAST CORP NEW CL A 321K 8K –
MICROSOFT CORP COM 13M 29K –
CVS HEALTH CORP COM 217K 4K –
NISOURCE INC COM 246K 9K –
SIMON PPTY GROUP INC NEW COM 279K 2K –
PDD HOLDINGS INC SPONSORED ADS 210K 2K –
BERKSHIRE HATHAWAY INC DEL CL A 1M 2 –
VANGUARD INDEX FDS MID CAP ETF 364K 2K –
NEXTERA ENERGY INC COM 506K 7K –
NIKE INC CL B 2M 26K –
TESLA INC COM 7M 35K –
LINDE PLC SHS 794K 2K –
VANGUARD WORLD FD HEALTH CAR ETF 202K 761 –
VANGUARD WORLD FD INDUSTRIAL ETF 235K 1K –
VANGUARD WORLD FD INF TECH ETF 2M 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 617K 1K –
ELI LILLY & CO COM 2M 3K –
AIR PRODS & CHEMS INC COM 2M 9K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 354K 4K –
ISHARES TR RUSSELL 2000 ETF 2M 10K –
APOLLO GLOBAL MGMT INC COM 507K 4K –
DIGITAL RLTY TR INC COM 206K 1K –
MICRON TECHNOLOGY INC COM 297K 2K –
FREEPORT-MCMORAN INC CL B 204K 4K –
ISHARES TR SELECT DIVID ETF 969K 8K –
VANGUARD INDEX FDS SML CP GRW ETF 214K 1K –
REGENERON PHARMACEUTICALS COM 330K 314 –
JANUS DETROIT STR TR HENDERSON AAA CL 5M 104K –
ENERGY TRANSFER L P COM UT LTD PTN 252K 16K –
VISA INC COM CL A 1M 5K –
ISHARES TR MSCI USA MIN VL 208K 2K –
ENACT HLDGS INC COM 346K 11K –
VANGUARD INDEX FDS SML CP GRW ETF 430K 2K –
VANGUARD INDEX FDS VALUE ETF 10M 61K –
VANGUARD INDEX FDS GROWTH ETF 20M 54K –
SPIRE INC COM 9M 140K –
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 13M 105K –
CONSTELLATION ENERGY CORP COM 386K 2K –
META PLATFORMS INC CL A 2M 5K –
SERVICENOW INC COM 286K 363 –
MONDELEZ INTL INC CL A 241K 4K –
BROADCOM INC COM 2M 1K –
MOODYS CORP COM 226K 537 –
ISHARES TR CORE MSCI EAFE 19M 256K –
ACCENTURE PLC IRELAND SHS CLASS A 18M 60K –
NVIDIA CORPORATION COM 10M 83K –
ABBVIE INC COM 968K 6K –
S&P GLOBAL INC COM 448K 1K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 18M 252K –
KEMPER CORP COM 438K 7K –
ZOETIS INC CL A 205K 1K –
CAVA GROUP INC COM 277K 3K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 3M 16K –
BLACKSTONE INC COM 212K 2K –
QUALCOMM INC COM 382K 2K –
T-MOBILE US INC COM 223K 1K –
GENERAL DYNAMICS CORP COM 3M 9K –
INTUITIVE SURGICAL INC COM NEW 310K 697 –
MCDONALDS CORP COM 3M 11K –
CISCO SYS INC COM 398K 8K –
ADVANCED MICRO DEVICES INC COM 770K 5K –
WISDOMTREE TR US QTLY DIV GRT 354K 5K –
AT&T INC COM COM 322K 17K –
ISHARES TR ISHARES BIOTECH 292K 2K –
GE AEROSPACE COM NEW 639K 4K –
SELECT SECTOR SPDR TR SBI CONS DISCR 405K 2K –
ISHARES TR CORE S&P500 ETF 2M 3K –
WELLS FARGO CO NEW COM 307K 5K –
UNION PAC CORP COM 2M 11K –
SALESFORCE INC COM 583K 2K –
NORTHROP GRUMMAN CORP COM 2M 5K –
THERMO FISHER SCIENTIFIC INC COM 788K 1K –
LOCKHEED MARTIN CORP COM 802K 2K –
JPMORGAN CHASE & CO. COM 1M 6K –
CHEVRON CORP NEW COM 698K 4K –
DANAHER CORPORATION COM 506K 2K –
TJX COS INC NEW COM 212K 2K –
BANK AMERICA CORP COM 424K 11K –
SPDR SER TR S&PDIVID ETF 11M 83K –
WALMART INC COM 1M 17K –
INTERNATIONAL BUSINESS MACHS COM 385K 2K –
ORACLE CORP COM 3M 23K –
RTX CORPORATION COM 512K 5K –
TEXAS INSTRS INC COM 547K 3K –
TARGET CORP COM 373K 3K –
PFIZER INC COM 300K 11K –
CATERPILLAR INC COM 525K 2K –
ALPHABET INC CAP STK CL C 3M 18K –
AMERICAN EXPRESS CO COM 267K 1K –
AMGEN INC COM 3M 9K –
APPLIED MATLS INC COM 405K 2K –
ANALOG DEVICES INC COM 226K 991 –
ISHARES TR CORE DIV GRWTH 13M 221K –
EATON CORP PLC SHS 493K 2K –
LAM RESEARCH CORP COM 300K 282 –
PHILIP MORRIS INTL INC COM 214K 2K –
SYNOPSYS INC COM 212K 356 –
PNC FINL SVCS GROUP INC COM 259K 2K –
ALTRIA GROUP INC COM 231K 5K –
CADENCE DESIGN SYSTEM INC COM 538K 2K –
EXXON MOBIL CORP COM 674K 6K –
UNITEDHEALTH GROUP INC COM 3M 6K –
LOWES COS INC COM 406K 2K –
DEERE & CO COM 291K 778 –
NOVO-NORDISK A S ADR 2M 16K –
AUTOZONE INC COM 451K 152 –
BLACKROCK INC COM 379K 481 –
ISHARES TR MSCI EAFE ETF 450K 6K –
APPLE INC COM 23M 109K –
ABBOTT LABS COM 488K 5K –
DISNEY WALT CO COM 286K 3K –
BOOKING HOLDINGS INC COM 222K 56 –
MARSH & MCLENNAN COS INC COM 216K 1K –
ISHARES TR RUS 1000 VAL ETF 872K 5K –