{ "crd_number": 281223, "slug": "peak-financial-management-inc-broomfield-co-281223", "primary_business_name": "PEAK FINANCIAL MANAGEMENT, INC.", "legal_name": "PEAK FINANCIAL MANAGEMENT, INC.", "dbas": [], "city": "Broomfield", "state": "CO", "country": "United States", "cbsa_code": "19740", "metro": { "cbsa_code": "19740", "common_name": "Denver", "msa_name": "Denver-Aurora-Centennial, CO", "path": "/advisors/co/denver" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-11-18", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-02-13", "carried_forward": false, "raum_total": 109420824.0, "raum_discretionary": 109420824.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 124451.0, "count": 1 }, "individuals": { "raum": 54427244.0, "count": 129 }, "banking_thrift": { "raum": null, "count": null, "fewer_than_5": true }, "state_municipal": { "raum": null, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": null, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": null, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": null, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 54735171.0, "count": 25 }, "corporations_other_businesses": { "raum": 133958.0, "count": 1 }, "sovereign_wealth_foreign_official": { "raum": null, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "CO", "TX" ], "websites": [ "https://linkedin.com/COMPANY/2012824", "https://peakfinancialmanagement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/281223", "city_as_filed": "BROOMFIELD", "url": "https://advisorcensus.com/firm/peak-financial-management-inc-broomfield-co-281223", "display_name": "Peak Financial Management, Inc.", "summary": "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.", "citation": "AdvisorCensus. Peak Financial Management, Inc. (CRD 281223): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Peak Financial Management, Inc. compensated?", "a": "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)." }, { "q": "Where is Peak Financial Management, Inc. located?", "a": "Peak Financial Management, Inc.'s principal office is in Broomfield, CO, according to its Form ADV." }, { "q": "Is Peak Financial Management, Inc. registered with the SEC or a state?", "a": "Peak Financial Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 281223." }, { "q": "How much does Peak Financial Management, Inc. manage?", "a": "Peak Financial Management, Inc. reports $109,420,824 in regulatory assets under management in its Form ADV filing dated February 13, 2026 (100% discretionary)." }, { "q": "What types of clients does Peak Financial Management, Inc. serve?", "a": "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)." }, { "q": "Which custodians does Peak Financial Management, Inc. use?", "a": "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." }, { "q": "Does Peak Financial Management, Inc. 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/281223" }, { "q": "What changed in Peak Financial Management, Inc.'s recent Form ADV filings?", "a": "In the December 2025 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Fidelity Distributors Company LLC", "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC", "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/peak-financial-management-inc-broomfield-co-281223.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 129, "fewer_than_5": false, "raum": 54427244.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 25, "fewer_than_5": false, "raum": 54735171.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": false, "raum": 124451.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": null }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": null }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": false, "raum": 133958.0 } ], "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/281223", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }