PEAK WEALTH SOLUTIONS
PEAK WEALTH SOLUTIONS, INC. Legal Name
Adviser information for PEAK WEALTH SOLUTIONS last updated from Form ADV on March 8th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,984 | $566.8M |
| Non-Discretionary | 28 | $91.0M |
| Total | 2,012 | $657.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 395 | $112.9M |
| HNW Individuals | 239 | $439.3M |
| 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 | 28 | $91.0M |
| Charitable organizations | 6 | $10.7M |
| 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 | $3.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSEMINAR FEES |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-71071 |
|---|---|
| SEC ERA File Number | 801-71071 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127391 |
| Legal Entity Identifier | None |
Principal Office
30195 CHAGRIN BLVD.SUITE 360
PEPPER PIKE
OH
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 216-370-7887, Fax: 216-292-7865
Chief Compliance Officer
GREGORY GROMEK
CHIEF COMPLIANCE OFFICER
30195 CHARGRIN BLVD., STE. 360
PEPPER PIKE
OH
United States
Tel:
216-370-7887
Fax:
216-292-7865
G***@*************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 |
|---|---|---|---|---|---|
| KOCSIS, DAVID, PAUL | Individual | – | MANAGING PRINCIPAL / RETIREMENT PLAN CONSULTANT | 07/2016 | 50-75% |
| GROMEK, GREGORY, MICHAEL | Individual | – | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | 07/2016 | 50-75% |