{ "crd_number": 343681, "slug": "peak-nine-capital-advisors-llc-naples-fl-343681", "primary_business_name": "PEAK NINE CAPITAL ADVISORS, LLC", "legal_name": "PEAK NINE CAPITAL ADVISORS, LLC", "dbas": [], "city": "Naples", "state": "FL", "country": "United States", "cbsa_code": "34940", "metro": { "cbsa_code": "34940", "common_name": "Naples", "msa_name": "Naples-Marco Island, FL", "path": "/advisors/fl/naples" }, "registration_type": "sec", "registration_status": "120-Day Approval", "registration_date": "2026-08-27", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-08-04", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 5, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/343681", "city_as_filed": "NAPLES", "url": "https://advisorcensus.com/firm/peak-nine-capital-advisors-llc-naples-fl-343681", "display_name": "Peak Nine Capital Advisors, LLC", "summary": "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.", "citation": "AdvisorCensus. Peak Nine Capital Advisors, LLC (CRD 343681): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Peak Nine Capital Advisors, LLC compensated?", "a": "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." }, { "q": "How much does Peak Nine Capital Advisors, LLC charge?", "a": "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." }, { "q": "Where is Peak Nine Capital Advisors, LLC located?", "a": "Peak Nine Capital Advisors, LLC's principal office is in Naples, FL, according to its Form ADV." }, { "q": "Is Peak Nine Capital Advisors, LLC registered with the SEC or a state?", "a": "Peak Nine Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: 120-Day Approval. CRD 343681." }, { "q": "Does Peak Nine Capital Advisors, LLC 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/343681" }, { "q": "Does Peak Nine Capital Advisors, LLC state an account minimum?", "a": "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.\"" }, { "q": "What changed in Peak Nine Capital Advisors, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 4, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": "1% of assets a year", "stated_range": null, "stated_maximum": null, "account_minimum": "$10,000,000", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 1% of assets a year" ], "quotes": [ "In general, the investment management fee is 1% per annum, based on the value of the client’s assets under management." ] }, { "label": "Account minimum", "statements": [ "Account minimum: $10,000,000" ], "quotes": [ "Its minimum account size is $10,000,000.", "The Adviser generally requires that clients maintain a minimum account size of $10,000,000." ] } ], "values": { "tiers": [ { "min": null, "max": null, "rate_pct": 1.0 } ], "range_pct": null, "max_pct": null, "account_minimum": 10000000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "In general, the investment management fee is 1% per annum, based on the value of the client’s assets under management.", "Its minimum account size is $10,000,000.", "The Adviser generally requires that clients maintain a minimum account size of $10,000,000." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/peak-nine-capital-advisors-llc-naples-fl-343681.md", "clients": [], "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/343681", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }