{ "crd_number": 306902, "slug": "46-peaks-investment-advisory-group-newtown-pa-306902", "primary_business_name": "46 PEAKS INVESTMENT ADVISORY GROUP", "legal_name": "46 PEAKS LLC", "dbas": [], "city": "Newtown", "state": "PA", "country": "United States", "cbsa_code": "37980", "metro": { "cbsa_code": "37980", "common_name": "Philadelphia", "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD", "path": "/advisors/pa/philadelphia" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-01-10", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-04-20", "carried_forward": false, "raum_total": 272139518.0, "raum_discretionary": 272139518.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 5, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 21084281.0, "count": 44 }, "pension_profit_sharing": { "raum": 1776932.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 249278305.0, "count": 91 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL", "NJ", "NY", "PA", "TX" ], "websites": [ "https://46peaks.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/306902", "city_as_filed": "NEWTOWN", "url": "https://advisorcensus.com/firm/46-peaks-investment-advisory-group-newtown-pa-306902", "display_name": "46 Peaks Investment Advisory Group", "summary": "46 Peaks Investment Advisory Group is an SEC-registered investment advisory firm in Newtown, PA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 20, 2026.", "citation": "AdvisorCensus. 46 Peaks Investment Advisory Group (CRD 306902): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is 46 Peaks Investment Advisory Group compensated?", "a": "On its Form ADV (Item 5.E, October 2026), 46 Peaks Investment Advisory Group reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is 46 Peaks Investment Advisory Group located?", "a": "46 Peaks Investment Advisory Group's principal office is in Newtown, PA, according to its Form ADV." }, { "q": "Is 46 Peaks Investment Advisory Group registered with the SEC or a state?", "a": "46 Peaks Investment Advisory Group is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 306902." }, { "q": "How much does 46 Peaks Investment Advisory Group manage?", "a": "46 Peaks Investment Advisory Group reports $272,139,518 in regulatory assets under management in its Form ADV filing dated April 20, 2026 (100% discretionary)." }, { "q": "How have 46 Peaks Investment Advisory Group's assets and staff changed since 2021?", "a": "In the Form ADV data for 46 Peaks Investment Advisory Group: Regulatory assets under management: $163,899,000 in the October 2021 data and $272,139,518 in the October 2026 data, up 66%. Total employees: 6 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does 46 Peaks Investment Advisory Group serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (91); individuals (other than high net worth individuals) (44)." }, { "q": "Which custodians does 46 Peaks Investment Advisory Group use?", "a": "46 Peaks Investment Advisory Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does 46 Peaks Investment Advisory Group report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/306902" }, { "q": "What changed in 46 Peaks Investment Advisory Group's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $212,315,745 to $272,139,518 (+28%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 163899000.0, "total_employees": 6, "filing_date": "2021-08-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 182321461.0, "total_employees": 4, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 187974393.0, "total_employees": 4, "filing_date": "2023-03-16" }, { "period": "2024-10-01", "regulatory_assets_under_management": 197578430.0, "total_employees": 4, "filing_date": "2024-03-22" }, { "period": "2025-10-01", "regulatory_assets_under_management": 212315745.0, "total_employees": 4, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 272139518.0, "total_employees": 5, "filing_date": "2026-04-20" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $212,315,745 to $272,139,518 (+28%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/46-peaks-investment-advisory-group-newtown-pa-306902.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 44, "fewer_than_5": false, "raum": 21084281.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 91, "fewer_than_5": false, "raum": 249278305.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 1776932.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/306902", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }