AdvisorCensus / Financial advisors / North Carolina / Durham / Old Peak Finance
Old Peak Finance is an SEC-registered investment advisory firm in Chapel Hill, NC, registered since 2017, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.
Quick answers
From the filingHow is Old Peak Finance compensated?
On its Form ADV (Item 5.E, October 2026), Old Peak Finance reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
What does Old Peak Finance's brochure say about its fees?
Its Form ADV Part 2A brochure dated May 28, 2026 states: Up to $20,000,000: 0.3% a year; Above $20,000,000: 0.15% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Old Peak Finance located?
Old Peak Finance's principal office is in Chapel Hill, NC, according to its Form ADV.
Is Old Peak Finance registered with the SEC or a state?
Old Peak Finance is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 154804.
How much does Old Peak Finance manage?
Old Peak Finance reports $714,051,916 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (67% discretionary).
How have Old Peak Finance's assets and staff changed since 2021?
In the Form ADV data for Old Peak Finance: Regulatory assets under management: $327,679,141 in the October 2021 data and $714,051,916 in the October 2026 data, up 118%. Total employees: 6 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Old Peak Finance serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (107); individuals (other than high net worth individuals) (67); charitable organizations (1).
Which custodians does Old Peak Finance use?
Old Peak Finance'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.
Does Old Peak Finance report any disciplinary disclosures?
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/154804
Does Old Peak Finance state an account minimum?
Its Form ADV Part 2A brochure dated May 28, 2026 says: "We do not have a minimum account size."
What changed in Old Peak Finance's recent Form ADV filings?
In the October 2026 filing data: Employees performing advisory functions went from 7 to 8.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $20,000,000 | 0.3% |
| Above $20,000,000 | 0.15% |
The brochure's wording
Annual asset management fee of 0.30% of assets under management (assets up to $20 mm) + 0.15% of assets under management (assets over $20 mm)
Account minimum: None
The brochure's wording
We do not have a minimum account size.
As stated in the firm's Form ADV Part 2A brochure dated May 28, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$714,051,916 as of October 2026, filing dated September 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- Old Peak Finance LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2017 (9 years)
- Employees
- Total: 10. Performing investment advisory functions: 8.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $714,051,916 | 10 | September 30, 2026 |
| October 2025 | $575,178,443 | 8 | March 18, 2025 |
| October 2024 | $471,875,202 | 10 | July 24, 2024 |
| October 2023 | $405,331,294 | 9 | August 29, 2023 |
| October 2022 | $440,112,765 | 6 | July 13, 2022 |
| October 2021 | $327,679,141 | 6 | September 17, 2021 |
Regulatory assets under management: $327,679,141 in the October 2021 data and $714,051,916 in the October 2026 data, up 118%.
Total employees: 6 in October 2021 and 10 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- October 2026
- Employees performing advisory functions went from 7 to 8.
- June 2026
- Employees performing advisory functions went from 8 to 7.
- May 2026
- Registered or notice-filed in MA.
- April 2026
- Employees performing advisory functions went from 7 to 8.
- Regulatory assets under management went from $575,178,443 to $714,051,916 (+24%).
- January 2026
- No longer registered or notice-filed in MI.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Old Peak Finance (CRD 154804): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/old-peak-finance-chapel-hill-nc-154804