AdvisorCensus / Financial advisors / Colorado / Denver / Peak Financial Management, Inc.
Peak Financial Management, Inc. is an SEC-registered investment advisory firm in Broomfield, CO, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 13, 2026.
Quick answers
From the filingHow is Peak Financial Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Peak Financial Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Peak Financial Management, Inc. located?
Peak Financial Management, Inc.'s principal office is in Broomfield, CO, according to its Form ADV.
Is Peak Financial Management, Inc. registered with the SEC or a state?
Peak Financial Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 281223.
How much does Peak Financial Management, Inc. manage?
Peak Financial Management, Inc. reports $109,420,824 in regulatory assets under management in its Form ADV filing dated February 13, 2026 (100% discretionary).
What types of clients does Peak Financial Management, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (129); high net worth individuals (25); charitable organizations (1).
Which custodians does Peak Financial Management, Inc. use?
Peak Financial Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Distributors Company LLC as a custodian holding 10% or more of its separately managed account assets.
Does Peak Financial Management, Inc. 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/281223
What changed in Peak Financial Management, Inc.'s recent Form ADV filings?
In the December 2025 filing data: Newly registered with the SEC.
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
- Hourly charges
- 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 2ASee the firm's brochure (dated February 13, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$109,420,824 as of October 2026, filing dated February 13, 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
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2025 (0 years)
- Employees
- Total: 4. Performing investment advisory functions: 2.
- 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
-
3 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
Changes in the filing
Last 12 months- December 2025
- Newly registered with the SEC.
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. Peak Financial Management, Inc. (CRD 281223): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/peak-financial-management-inc-broomfield-co-281223