# Peak Investment Advisors, Inc.

> Peak Investment Advisors, Inc. is a state-registered investment advisory firm in Germantown, MD, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 5, 2026.

- CRD: 117875
- Filed as: PEAK INVESTMENT ADVISORS, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Germantown, MD
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/117875
- AdvisorCensus page: https://advisorcensus.com/firm/peak-investment-advisors-inc-germantown-md-117875

## Quick answers

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

**Where is Peak Investment Advisors, Inc. located?**
Peak Investment Advisors, Inc.'s principal office is in Germantown, MD, according to its Form ADV.

**Is Peak Investment Advisors, Inc. registered with the SEC or a state?**
Peak Investment Advisors, Inc. is a state-registered investment advisory firm, registered since 2023. Status as filed: APPROVED. CRD 117875.

**How much does Peak Investment Advisors, Inc. manage?**
Peak Investment Advisors, Inc. reports $102,685,985 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (98% discretionary).

**How have Peak Investment Advisors, Inc.'s assets and staff changed since 2022?**
In the Form ADV data for Peak Investment Advisors, Inc.: Regulatory assets under management: $114,781,174 in the October 2022 data and $102,685,985 in the October 2026 data, down 11%. Total employees: 4 in October 2022 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Peak Investment Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (86); high net worth individuals (27); corporations or other businesses not listed above (1).

**Does Peak Investment Advisors, Inc. report any disciplinary disclosures?**
Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/117875

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Other

### Regulatory assets under management (Item 5.F)
- Total: $102,685,985
- Discretionary: $100,373,509
- Non-discretionary: $2,312,476

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 86 | $21,490,658 |
| High net worth individuals | 27 | $80,321,718 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 1 | $873,609 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE, FL, GA, MD, VA
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/117875

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $114,781,174 | 4 | July 14, 2022 |
| October 2026 | $102,685,985 | 2 | March 5, 2026 |

Regulatory assets under management: $114,781,174 in the October 2022 data and $102,685,985 in the October 2026 data, down 11%.
Total employees: 4 in October 2022 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Peak Investment Advisors, Inc. (CRD 117875): Form ADV filing data as of October 2026.