# Peak Financial Advisors

> Peak Financial Advisors is an SEC-registered investment advisory firm in Denver, CO, registered since 2001, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 9, 2026.

- CRD: 115207
- Filed as: PEAK FINANCIAL ADVISORS
- Legal name: Peak Financial Advisors, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Denver, CO
- Filing period: October 2026
- Form ADV filing dated: September 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/115207
- AdvisorCensus page: https://advisorcensus.com/firm/peak-financial-advisors-denver-co-115207

## Quick answers

**How is Peak Financial Advisors compensated?**
On its Form ADV (Item 5.E, October 2026), Peak Financial Advisors reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Peak Financial Advisors located?**
Peak Financial Advisors' principal office is in Denver, CO, according to its Form ADV.

**Is Peak Financial Advisors registered with the SEC or a state?**
Peak Financial Advisors is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 115207.

**How much does Peak Financial Advisors manage?**
Peak Financial Advisors reports $268,751,194 in regulatory assets under management in its Form ADV filing dated September 9, 2026 (99% discretionary).

**How have Peak Financial Advisors' assets and staff changed since 2021?**
In the Form ADV data for Peak Financial Advisors: Regulatory assets under management: $192,990,726 in the October 2021 data and $268,751,194 in the October 2026 data, up 39%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Peak Financial Advisors serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (70); individuals (other than high net worth individuals) (50); charitable organizations (1).

**Which custodians does Peak Financial Advisors use?**
Peak Financial Advisors' 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 Peak Financial Advisors 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/115207

## From the Form ADV filing

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

### 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: $268,751,194
- Discretionary: $267,318,341
- Non-discretionary: $1,432,853

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 50 | $20,148,147 |
| High net worth individuals | 70 | $242,632,317 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 1 | $4,661,752 |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 1 | $1,308,978 |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2001 (25 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, NE, NH, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- peakfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $192,990,726 | 3 | February 24, 2021 |
| October 2022 | $223,807,763 | 3 | March 4, 2022 |
| October 2023 | $215,780,814 | 3 | August 11, 2023 |
| October 2024 | $230,298,334 | 3 | March 22, 2024 |
| October 2025 | $251,823,085 | 4 | January 30, 2025 |
| October 2026 | $268,751,194 | 3 | September 9, 2026 |

Regulatory assets under management: $192,990,726 in the October 2021 data and $268,751,194 in the October 2026 data, up 39%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Peak Financial Advisors (CRD 115207): Form ADV filing data as of October 2026.