PEAK CAPITAL MANAGEMENT, LLC
Adviser information for PEAK CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | 5 |
|---|---|
| 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 | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 338 | $109.1M |
| Non-Discretionary | 16 | $46.6M |
| Total | 354 | $155.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 90 | $31.9M |
| HNW Individuals | 32 | $115.6M |
| 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 | 3 | $2.6M |
| 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 | 7 | $5.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)ADVICE ON ASSETS FOR WHICH NO FEE IS CHARGED |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
9250 EAST COSTILLA AVENUESUITE 110
GREENWOOD VILLAGE
CO
United States
Monday - Friday, 8AM-4:30PM (MST)
Tel: 720 361-4016, Fax: 719-465-1386
Chief Compliance Officer
BAYARD DODGE
53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Tel:
6178961628
B*****@*********M
(Full email address available in API data)
Regulatory Contact
PAUL GEHRKE
DEPUTY GENERAL COUNSEL
53 STATE STREET
23RD FLOOR
BOSTON
MA
United States
Tel:
617-226-1742
P******@**********M
(Full email address available in API data)
Industry Affiliates
| KAIROS SKK ENVIROKURE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PCF CAPITAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SHEPHERD KAPLAN KROCHUK, LLC | Other investment adviser, including financial planners |
| SHEPHERD KAPLAN LLC | Other investment adviser, including financial plannersPension consultant |
| SKK 9I VENTURES MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK 9I VENTURES QP MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK GROUP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK INDUSTRIAL GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK OPPORTUNITY ZONE FUND II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK OPPORTUNITY ZONE MANAGER I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK PROVIDENT INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK REAL ESTATE GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK VENTURES MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK VENTURES QP MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK-FHR GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SKK-GLOBAL PARTNERS PROPERTY FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOCKHART, BRIAN, DAVID | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | 06/2006 | 10-25% |
| SHEPHERD KAPLAN KROCHUK, LLC | Domestic Entity | – | MANAGING MEMBER | 02/2020 | > 75% |
| FROG HOLDINGS, INC. | Domestic Entity | SHEPHERD KAPLAN KROCHUK, LLC | MEMBER | 02/2020 | 25-50% |
| SHEPHERD, DAVID, MORRIS | Individual | FROG HOLDINGS, INC. | PRESIDENT | 02/2020 | > 75% |
| DODGE, BAYARD, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |