PEAK FINANCIAL ADVISORS

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Colorado, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
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	387	$226.8M
Non-Discretionary	16	$3.5M
Total	403	$230.3M

Clients

Type	Number	RAUM
Individuals	46	$19.9M
HNW Individuals	78	$209.3M
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	0	$0
Charitable organizations	<5	$1.1M
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	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	4
No. of Financial Planning Clients	101-250

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation	% of AUMFixed fees
Other Business Activities	Accountant or accounting firm

Identifiers

SEC RIA File Number	801-60554
SEC ERA File Number	801-60554
SEC CIK Numbers	1843309
SEC CRD Numbers	115207
Legal Entity Identifier	None

Principal Office

155 SOUTH MADISON STREET
SUITE 210
DENVER
CO
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic