# 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.

- CRD: 281223
- Filed as: PEAK FINANCIAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Broomfield, CO
- Filing period: October 2026
- Form ADV filing dated: February 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/281223
- AdvisorCensus page: https://advisorcensus.com/firm/peak-financial-management-inc-broomfield-co-281223

## Quick answers

**How 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). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**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

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

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Distributors Company LLC

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: $109,420,824
- Discretionary: $109,420,824
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 129 | $54,427,244 |
| High net worth individuals | 25 | $54,735,171 |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | Not reported |
| Charitable organizations | 1 | $124,451 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | Not reported |
| Corporations or other businesses not listed above | 1 | $133,958 |

### 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

### Firm details
- Registered since: 2025 (0 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CO, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- peakfinancialmanagement.com
- LinkedIn @2012824

## Changes in the filing (last 12 months)

### December 2025
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Peak Financial Management, Inc. (CRD 281223): Form ADV filing data as of October 2026.