SUNLIGHT PEAKS
SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC Legal Name
Adviser information for SUNLIGHT PEAKS last updated from Form ADV on July 25th, 2023. 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 13 | $43.4M |
| Total | 13 | $43.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 13 | $43.4M |
| 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 | 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-121694 |
|---|---|
| SEC ERA File Number | 801-121694 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315251 |
| Legal Entity Identifier | None |
Principal Office
73 DOLORES CIRCLEGLENWOOD SPRINGS
CO
United States
Monday - Friday, 9 - 5
Tel: 8662100158 X 1, Fax: None
Websites
Chief Compliance Officer
SAM A. BERITELA
WEALTH STRATEGIST
115 HUNTS BLUFF ROAD
SPARKS
MD
United States
Tel:
8662100158
S***********@****************M
(Full email address available in API data)
Regulatory Contact
ANIKA JONES
1340 SMITH AVENUE
SUITE 200
BALTIMORE
MD
United States
Tel:
4437683736
A****@**************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 |
|---|---|---|---|---|---|
| PARSON, RYAN, DOUGLAS | Individual | – | PRESIDENT AND CEO | 04/2021 | < 5% |
| BERITELA, SAM, A | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |
| HERITAGE MANAGEMENT GROUP, LLC | Domestic Entity | – | HOLDING COMPANY | 04/2021 | > 75% |
| PARSON, RYAN, DOUGLAS | Individual | HERITAGE CAPITAL USA, INC | OWNER | 04/2021 | > 75% |
| HERITAGE CAPITAL USA, INC | Domestic Entity | HERITAGE MANAGEMENT GROUP, LLC | OWNER | 04/2021 | > 75% |