{
  "crd_number": 154804,
  "slug": "old-peak-finance-chapel-hill-nc-154804",
  "primary_business_name": "OLD PEAK FINANCE",
  "legal_name": "OLD PEAK FINANCE LLC",
  "dbas": [],
  "city": "Chapel Hill",
  "state": "NC",
  "country": "United States",
  "cbsa_code": "20500",
  "metro": {
    "cbsa_code": "20500",
    "common_name": "Durham",
    "msa_name": "Durham-Chapel Hill, NC",
    "path": "/advisors/nc/durham"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-02-14",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-09-30",
  "carried_forward": false,
  "raum_total": 714051916.0,
  "raum_discretionary": 480514795.0,
  "raum_non_discretionary": 233537121.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 10,
  "advisory_employees": 8,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1807644.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 23004550.0,
      "count": 67
    },
    "high_net_worth_individuals": {
      "raum": 685846828.0,
      "count": 107
    },
    "corporations_other_businesses": {
      "raum": 3392894.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "MA",
    "NC",
    "NY",
    "TX"
  ],
  "websites": [
    "https://linkedin.com/company/9261431",
    "https://linkedin.com/in/rickwaechter",
    "https://linkedin.com/in/routhdaniel",
    "https://oldpeakfinance.com",
    "https://x.com/equityplandan",
    "https://youtube.com/@EquityPlanDan",
    "https://youtube.com/@oldpeakfinance"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/154804",
  "city_as_filed": "CHAPEL HILL",
  "url": "https://advisorcensus.com/firm/old-peak-finance-chapel-hill-nc-154804",
  "display_name": "Old Peak Finance",
  "summary": "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.",
  "citation": "AdvisorCensus. Old Peak Finance (CRD 154804): 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"
  ],
  "quick_answers": [
    {
      "q": "How is Old Peak Finance compensated?",
      "a": "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)."
    },
    {
      "q": "How much does Old Peak Finance charge?",
      "a": "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."
    },
    {
      "q": "Where is Old Peak Finance located?",
      "a": "Old Peak Finance's principal office is in Chapel Hill, NC, according to its Form ADV."
    },
    {
      "q": "Is Old Peak Finance registered with the SEC or a state?",
      "a": "Old Peak Finance is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 154804."
    },
    {
      "q": "How much does Old Peak Finance manage?",
      "a": "Old Peak Finance reports $714,051,916 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (67% discretionary)."
    },
    {
      "q": "How have Old Peak Finance's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Old Peak Finance serve?",
      "a": "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)."
    },
    {
      "q": "Which custodians does Old Peak Finance use?",
      "a": "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."
    },
    {
      "q": "Does Old Peak Finance 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/154804"
    },
    {
      "q": "Does Old Peak Finance state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated May 28, 2026 says: \"We do not have a minimum account size.\""
    },
    {
      "q": "What changed in Old Peak Finance's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Employees performing advisory functions went from 7 to 8."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 327679141.0,
      "total_employees": 6,
      "filing_date": "2021-09-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 440112765.0,
      "total_employees": 6,
      "filing_date": "2022-07-13"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 405331294.0,
      "total_employees": 9,
      "filing_date": "2023-08-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 471875202.0,
      "total_employees": 10,
      "filing_date": "2024-07-24"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 575178443.0,
      "total_employees": 8,
      "filing_date": "2025-03-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 714051916.0,
      "total_employees": 10,
      "filing_date": "2026-09-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Employees performing advisory functions went from 7 to 8."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Employees performing advisory functions went from 8 to 7."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Registered or notice-filed in MA."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 7 to 8.",
        "Regulatory assets under management went from $575,178,443 to $714,051,916 (+24%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in MI."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated May 28, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $20,000,000",
        "rate": "0.3%"
      },
      {
        "band": "Above $20,000,000",
        "rate": "0.15%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $20,000,000: 0.3% a year",
          "Above $20,000,000: 0.15% a year"
        ],
        "quotes": [
          "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)"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We do not have a minimum account size."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 20000000.0,
          "rate_pct": 0.3
        },
        {
          "min": 20000000.0,
          "max": null,
          "rate_pct": 0.15
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "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)",
      "We do not have a minimum account size."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "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/old-peak-finance-chapel-hill-nc-154804.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 67,
      "fewer_than_5": false,
      "raum": 23004550.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 107,
      "fewer_than_5": false,
      "raum": 685846828.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 1807644.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 3392894.0
    }
  ],
  "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/154804",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}