Hedge Fund Database

PEAK ASSET MANAGEMENT, LLC

Adviser information for PEAK ASSET MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 16
Investment Advisory/Research 14
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 14
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 1,003 $816.8M
Non-Discretionary 22 $8.3M
Total 1,025 $825.1M

Clients

Type Number RAUM
Individuals 119 $62.7M
HNW Individuals 180 $734.3M
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 <5 $3.2M
Charitable organizations 9 $24.1M
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 $756,428
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
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 businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-52118
SEC ERA File Number 801-52118
SEC CIK Numbers 1632512
SEC CRD Numbers 106944
Legal Entity Identifier None

Principal Office

1371 E. HECLA DRIVE
SUITE A
LOUISVILLE
CO
United States
Monday - Friday, 7:30 - 5:00
Tel: 303-926-0100, Fax: 303-926-0098

Websites

www.peakam.com www.linkedin.com/company/peak-asset-management-llc-colorado

Chief Compliance Officer

JOHN N. MCCORVIE, JR.
MANAGER
1371 E. HECLA DRIVE
SUITE A
LOUISVILLE
CO
United States
Tel: 303-926-0100
Fax: 303-926-0098
(Full email address available in API data)

Regulatory Contact

BETHANY AYLOR
INVESTMENT ADVISOR REPRESENTATIVE
1371 E. HECLA DRIVE
SUITE A
LOUISVILLE
CO
United States
Tel: 303-926-0100
Fax: 303-926-0098
(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
MCCORVIE, JOHN, NEAL Individual – CCO 03/2000 < 5%
TARA HUME FINANCIAL CONSULTING, LLC Domestic Entity – MANAGING MEMBER 04/2009 50-75%
Hefty, TARA, JILL Individual TARA HUME FINANCIAL CONSULTING, LLC MANAGING MEMBER 04/2009 > 75%
MCCORVIE FINANCIAL, LLC Domestic Entity – MEMBER 01/2023 25-50%
MCCORVIE, JOHN, NEAL Individual MCCORVIE FINANCIAL, LLC MANAGING MEMBER 01/2023 > 75%

No. Employees, Historic

20100201920202021202220232024202510 on 5/21/201910 on 12/2/201910 on 2/3/202010 on 3/27/202010 on 6/15/202010 on 6/15/202010 on 6/25/202011 on 3/29/202111 on 6/9/202113 on 3/28/202213 on 11/9/202215 on 3/23/202315 on 4/5/202315 on 6/26/202315 on 1/23/202416 on 3/27/2024

RAUM, Historic

900M450M02019202020212022202320242025527875727 on 5/21/2019527875727 on 12/2/2019527875727 on 2/3/2020620203604 on 3/27/2020620203604 on 6/15/2020620203604 on 6/15/2020620203604 on 6/25/2020729058647 on 3/29/2021729058647 on 6/9/2021752250357 on 3/28/2022752250357 on 11/9/2022702641190 on 3/23/2023702641190 on 4/5/2023702641190 on 6/26/2023702641190 on 1/23/2024825132300 on 3/27/2024

No. Clients, Historic

40020002019202020212022202320242025326 on 5/21/2019326 on 12/2/2019326 on 2/3/2020300 on 3/27/2020300 on 6/15/2020300 on 6/15/2020300 on 6/25/2020320 on 3/29/2021320 on 6/9/2021270 on 3/28/2022270 on 11/9/2022290 on 3/23/2023290 on 4/5/2023290 on 6/26/2023290 on 1/23/2024308 on 3/27/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 323K 3K Peak Asset Management
ABBOTT LABS COM 1M 14K Peak Asset Management
ACCENTURE PLC IRELAND SHS CLASS A 1M 4K Peak Asset Management
ADOBE INC COM 2M 4K Peak Asset Management
ALPHABET INC CAP STK CL A 21M 114K Peak Asset Management
ALPHABET INC CAP STK CL C 2M 9K Peak Asset Management
AMAZON COM INC COM 5M 26K Peak Asset Management
AMERICAN CENTY ETF TR AVANTIS ALL INT 5M 86K Peak Asset Management
AMERICAN CENTY ETF TR AVANTIS EMGMKT 3M 53K Peak Asset Management
AMERICAN CENTY ETF TR US SML CP VALU 11M 121K Peak Asset Management
AMGEN INC COM 231K 739 Peak Asset Management
AMPHENOL CORP NEW CL A 2M 24K Peak Asset Management
APPLE INC COM 27M 127K Peak Asset Management
APPLIED MATLS INC COM 670K 3K Peak Asset Management
ARROW ELECTRS INC COM 211K 2K Peak Asset Management
BANK AMERICA CORP COM 256K 6K Peak Asset Management
BECTON DICKINSON & CO COM 11M 49K Peak Asset Management
BLACKROCK INC COM 489K 621 Peak Asset Management
BOOKING HOLDINGS INC COM 11M 3K Peak Asset Management
BRISTOL-MYERS SQUIBB CO COM 2M 38K Peak Asset Management
BROADCOM INC COM 2M 979 Peak Asset Management
CHEVRON CORP NEW COM 5M 31K Peak Asset Management
CHURCH & DWIGHT CO INC COM 669K 6K Peak Asset Management
CISCO SYS INC COM 11M 239K Peak Asset Management
CLOUDFLARE INC CL A COM 256K 3K Peak Asset Management
COCA COLA CO COM 949K 15K Peak Asset Management
CONOCOPHILLIPS COM 8M 66K Peak Asset Management
CORNING INC COM 263K 7K Peak Asset Management
COSTCO WHSL CORP NEW COM 4M 4K Peak Asset Management
DEERE & CO COM 414K 1K Peak Asset Management
DISNEY WALT CO COM 11M 110K Peak Asset Management
EATON CORP PLC SHS 270K 860 Peak Asset Management
ECOLAB INC COM 3M 12K Peak Asset Management
EDWARDS LIFESCIENCES CORP COM 586K 6K Peak Asset Management
ELI LILLY & CO COM 347K 383 Peak Asset Management
EMERSON ELEC CO COM 13M 119K Peak Asset Management
ENERGY FUELS INC COM NEW 61K 10K Peak Asset Management
EXXON MOBIL CORP COM 2M 16K Peak Asset Management
FORTINET INC COM 8M 126K Peak Asset Management
GE AEROSPACE COM NEW 338K 2K Peak Asset Management
GOLAR LNG LTD SHS 2M 62K Peak Asset Management
HOME DEPOT INC COM 385K 1K Peak Asset Management
HONEYWELL INTL INC COM 552K 3K Peak Asset Management
INTEL CORP COM 396K 13K Peak Asset Management
INTERCONTINENTAL EXCHANGE IN COM 340K 2K Peak Asset Management
INTERNATIONAL BUSINESS MACHS COM 363K 2K Peak Asset Management
INTUIT COM 2M 2K Peak Asset Management
INVESCO EXCHANGE TRADED FD T PHARMACEUTICALS 11M 137K Peak Asset Management
INVESCO EXCHANGE TRADED FD T S&P SPIN OFF 692K 10K Peak Asset Management
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 14M 87K Peak Asset Management
INVESCO QQQ TR UNIT SER 1 8M 17K Peak Asset Management
ISHARES TR 1 3 YR TREAS BD 2M 23K Peak Asset Management
ISHARES TR CORE S&P MCP ETF 454K 8K Peak Asset Management
ISHARES TR CORE S&P SCP ETF 1M 14K Peak Asset Management
ISHARES TR CORE S&P500 ETF 5M 10K Peak Asset Management
ISHARES TR GLOBAL TECH ETF 255K 3K Peak Asset Management
ISHARES TR MSCI EAFE ETF 658K 8K Peak Asset Management
ISHARES TR MSCI EMG MKT ETF 250K 6K Peak Asset Management
ISHARES TR RUS 2000 VAL ETF 277K 2K Peak Asset Management
ISHARES TR RUS MID CAP ETF 249K 3K Peak Asset Management
ISHARES TR RUSSELL 2000 ETF 3M 17K Peak Asset Management
ISHARES TR SP SMCP600VL ETF 214K 2K Peak Asset Management
JACOBS SOLUTIONS INC COM 3M 24K Peak Asset Management
JANUS DETROIT STR TR HENDRSN SHRT ETF 2M 47K Peak Asset Management
JOHNSON & JOHNSON COM 2M 13K Peak Asset Management
JPMORGAN CHASE & CO. COM 18M 91K Peak Asset Management
JPMORGAN CHASE FINL CO LLC CAL LKD 44 761K 26K Peak Asset Management
KINDER MORGAN INC DEL COM 3M 137K Peak Asset Management
LABCORP HOLDINGS INC COM SHS 431K 2K Peak Asset Management
LENNOX INTL INC COM 388K 725 Peak Asset Management
LOWES COS INC COM 737K 3K Peak Asset Management
MARRIOTT INTL INC NEW CL A 208K 860 Peak Asset Management
MASTERCARD INCORPORATED CL A 4M 8K Peak Asset Management
MCDONALDS CORP COM 328K 1K Peak Asset Management
MEDTRONIC PLC SHS 3M 33K Peak Asset Management
MERCK & CO INC COM 2M 18K Peak Asset Management
META PLATFORMS INC CL A 548K 1K Peak Asset Management
MICROSOFT CORP COM 30M 67K Peak Asset Management
MKS INSTRS INC COM 2M 12K Peak Asset Management
NEXTERA ENERGY INC COM 379K 5K Peak Asset Management
NIKE INC CL B 472K 6K Peak Asset Management
NOVARTIS AG SPONSORED ADR 213K 2K Peak Asset Management
NVIDIA CORPORATION COM 2M 12K Peak Asset Management
ORACLE CORP COM 18M 126K Peak Asset Management
OREILLY AUTOMOTIVE INC COM 2M 2K Peak Asset Management
PACCAR INC COM 14M 138K Peak Asset Management
PALO ALTO NETWORKS INC COM 201K 594 Peak Asset Management
PEPSICO INC COM 2M 12K Peak Asset Management
PFIZER INC COM 794K 28K Peak Asset Management
PHILLIPS EDISON & CO INC COMMON STOCK 269K 8K Peak Asset Management
PIMCO ETF TR ENHAN SHRT MA AC 767K 8K Peak Asset Management
PROCTER AND GAMBLE CO COM 4M 25K Peak Asset Management
PROGRESSIVE CORP COM 723K 3K Peak Asset Management
QUALCOMM INC COM 1M 5K Peak Asset Management
REPUBLIC SVCS INC COM 2M 12K Peak Asset Management
ROYAL BK CDA COM 213K 2K Peak Asset Management
ROYAL GOLD INC COM 728K 6K Peak Asset Management
RTX CORPORATION COM 14M 136K Peak Asset Management
S&P GLOBAL INC COM 19M 42K Peak Asset Management
SCHLUMBERGER LTD COM STK 2M 36K Peak Asset Management
SCHWAB STRATEGIC TR INTL EQTY ETF 230K 6K Peak Asset Management
SCHWAB STRATEGIC TR US LRG CAP ETF 676K 11K Peak Asset Management
SCHWAB STRATEGIC TR US MID-CAP ETF 237K 3K Peak Asset Management
SELECT SECTOR SPDR TR ENERGY 1M 11K Peak Asset Management
SELECT SECTOR SPDR TR FINANCIAL 1M 24K Peak Asset Management
SELECT SECTOR SPDR TR SBI CONS DISCR 455K 2K Peak Asset Management
SNOWFLAKE INC CL A 806K 6K Peak Asset Management
SOUTHERN CO COM 327K 4K Peak Asset Management
SPDR DOW JONES INDL AVERAGE UT SER 1 502K 1K Peak Asset Management
SPDR GOLD TR GOLD SHS 242K 1K Peak Asset Management
SPDR S&P 500 ETF TR TR UNIT 8M 15K Peak Asset Management
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 5M 10K Peak Asset Management
SPDR SER TR BLOOMBERG 1-3 MO 3M 31K Peak Asset Management
SPDR SER TR BLOOMBERG 3-12 M 15M 147K Peak Asset Management
SPDR SER TR S&P DIVID ETF 2M 15K Peak Asset Management
STANLEY BLACK & DECKER INC COM 2M 23K Peak Asset Management
STARBUCKS CORP COM 201K 3K Peak Asset Management
STRYKER CORPORATION COM 18M 52K Peak Asset Management
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 608K 4K Peak Asset Management
TARGET CORP COM 379K 3K Peak Asset Management
TASEKO MINES LTD COM 29K 12K Peak Asset Management
TEGNA INC COM 209K 15K Peak Asset Management
TEXAS INSTRS INC COM 248K 1K Peak Asset Management
THERMO FISHER SCIENTIFIC INC COM 2M 3K Peak Asset Management
TJX COS INC NEW COM 209K 2K Peak Asset Management
TRAVELERS COMPANIES INC COM 369K 2K Peak Asset Management
UNION PAC CORP COM 3M 14K Peak Asset Management
UNITEDHEALTH GROUP INC COM 1M 2K Peak Asset Management
US BANCORP DEL COM NEW 276K 7K Peak Asset Management
VANECK ETF TRUST SEMICONDUCTR ETF 338K 1K Peak Asset Management
VANGUARD BD INDEX FDS VANGUARD ULTRA 664K 13K Peak Asset Management
VANGUARD INDEX FDS MID CAP ETF 3M 11K Peak Asset Management
VANGUARD INDEX FDS S&P 500 ETF SHS 7M 13K Peak Asset Management
VANGUARD INDEX FDS SMALL CP ETF 2M 8K Peak Asset Management
VANGUARD INDEX FDS TOTAL STK MKT 894K 3K Peak Asset Management
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 515K 12K Peak Asset Management
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 283K 4K Peak Asset Management
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 11M 184K Peak Asset Management
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 14M 247K Peak Asset Management
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 494K 10K Peak Asset Management
VERIZON COMMUNICATIONS INC COM 380K 9K Peak Asset Management
VISA INC COM CL A 16M 60K Peak Asset Management
WALMART INC COM 372K 5K Peak Asset Management
WELLS FARGO CO NEW COM 2M 31K Peak Asset Management
WEYERHAEUSER CO MTN BE COM NEW 252K 9K Peak Asset Management
XCEL ENERGY INC COM 208K 4K Peak Asset Management
ZOETIS INC CL A 412K 2K Peak Asset Management