AdvisorCensus / Financial advisors / Florida / Naples / Peak Nine Capital Advisors, LLC
Peak Nine Capital Advisors, LLC
Filed as PEAK NINE CAPITAL ADVISORS, LLC
Peak Nine Capital Advisors, LLC is an SEC-registered investment advisory firm in Naples, FL, registered since 2026, with no regulatory assets under management reported in its Form ADV filing dated August 4, 2026.
Quick answers
From the filingHow is Peak Nine Capital Advisors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Peak Nine Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.
What does Peak Nine Capital Advisors, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated August 4, 2026 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Peak Nine Capital Advisors, LLC located?
Peak Nine Capital Advisors, LLC's principal office is in Naples, FL, according to its Form ADV.
Is Peak Nine Capital Advisors, LLC registered with the SEC or a state?
Peak Nine Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: 120-Day Approval. CRD 343681.
Does Peak Nine Capital Advisors, LLC 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/343681
Does Peak Nine Capital Advisors, LLC state an account minimum?
Its Form ADV Part 2A brochure dated August 4, 2026 says: "Its minimum account size is $10,000,000." "The Adviser generally requires that clients maintain a minimum account size of $10,000,000."
What changed in Peak Nine Capital Advisors, LLC's recent Form ADV filings?
In the September 2026 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
- Performance-based 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 2AAsset-based fee: 1% of assets a year
The brochure's wording
In general, the investment management fee is 1% per annum, based on the value of the client’s assets under management.
Account minimum: $10,000,000
The brochure's wording
Its minimum account size is $10,000,000.
The Adviser generally requires that clients maintain a minimum account size of $10,000,000.
As stated in the firm's Form ADV Part 2A brochure dated August 4, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.FNot reported.
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.DNot reported.
A 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- 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: 120-Day Approval.
- Registered since
- 2026 (0 years)
- Employees
- Total: 5. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
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- September 2026
- 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.INot reported.
Source: 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 Nine Capital Advisors, LLC (CRD 343681): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/peak-nine-capital-advisors-llc-naples-fl-343681