PEAK INVESTMENT ADVISORS, INC.
Adviser information for PEAK INVESTMENT ADVISORS, INC. last updated from Form ADV on September 20th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 224 | $69.7M |
| Non-Discretionary | 53 | $11.0M |
| Total | 277 | $80.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 103 | $25.2M |
| HNW Individuals | 24 | $54.6M |
| 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 | <5 | $986,590 |
| 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 | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPORTION OF FEES CHARGED BY THIRD-PARTY INVESTMENT ADVISORS |
Identifiers
| SEC RIA File Number | 801-125943 |
|---|---|
| SEC ERA File Number | 801-125943 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117875 |
| Legal Entity Identifier | None |
Principal Office
13216 EXECUTIVE PARK TERRACEGERMANTOWN
MD
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 240-361-2700, Fax: 440-549-7959
Websites
Chief Compliance Officer
SEAN EVERETT FALK
PRESIDENT
13216 EXECUTIVE PARK TERRACE
GERMANTOWN
MD
United States
Tel:
240-361-2700
Fax:
440-549-7959
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 |
|---|---|---|---|---|---|
| FALK, SEAN, EVERETT | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 01/2023 | > 75% |