# 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.

- CRD: 154804
- Filed as: OLD PEAK FINANCE
- Legal name: Old Peak Finance LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chapel Hill, NC
- Filing period: October 2026
- Form ADV filing dated: September 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/154804
- AdvisorCensus page: https://advisorcensus.com/firm/old-peak-finance-chapel-hill-nc-154804

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated May 28, 2026)

- Up to $20,000,000: 0.3% a year
- Above $20,000,000: 0.15% a year

> 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

> We do not have a minimum account size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $714,051,916
- Discretionary: $480,514,795
- Non-discretionary: $233,537,121

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 67 | $23,004,550 |
| High net worth individuals | 107 | $685,846,828 |
| Charitable organizations | 1 | $1,807,644 |
| Corporations or other businesses not listed above | 1 | $3,392,894 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2017 (9 years)
- Employees: 10 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, MA, NC, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- oldpeakfinance.com
- LinkedIn @9261431
- LinkedIn @rickwaechter
- LinkedIn @routhdaniel
- X @equityplandan
- YouTube @EquityPlanDan
- YouTube @oldpeakfinance

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $327,679,141 | 6 | September 17, 2021 |
| October 2022 | $440,112,765 | 6 | July 13, 2022 |
| October 2023 | $405,331,294 | 9 | August 29, 2023 |
| October 2024 | $471,875,202 | 10 | July 24, 2024 |
| October 2025 | $575,178,443 | 8 | March 18, 2025 |
| October 2026 | $714,051,916 | 10 | September 30, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Old Peak Finance (CRD 154804): Form ADV filing data as of October 2026.