{
  "crd_number": 329193,
  "slug": "peakshares-llc-tampa-fl-329193",
  "primary_business_name": "PEAKSHARES LLC",
  "legal_name": "PEAKSHARES LLC",
  "dbas": [],
  "city": "Tampa",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "45300",
  "metro": {
    "cbsa_code": "45300",
    "common_name": "Tampa",
    "msa_name": "Tampa-St. Petersburg-Clearwater, FL",
    "path": "/advisors/fl/tampa"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-02-16",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 110000000.0,
  "raum_discretionary": 110000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 110000000.0,
      "count": 2
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 8,
  "states_registered": [],
  "websites": [
    "https://peaksharesfunds.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329193",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "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?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    }
  ],
  "city_as_filed": "TAMPA",
  "url": "https://advisorcensus.com/firm/peakshares-llc-tampa-fl-329193",
  "display_name": "Peakshares LLC",
  "summary": "Peakshares LLC is an SEC-registered investment advisory firm in Tampa, FL, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Peakshares LLC (CRD 329193): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Peakshares LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Peakshares LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Peakshares LLC located?",
      "a": "Peakshares LLC's principal office is in Tampa, FL, according to its Form ADV."
    },
    {
      "q": "Is Peakshares LLC registered with the SEC or a state?",
      "a": "Peakshares LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 329193."
    },
    {
      "q": "How much does Peakshares LLC manage?",
      "a": "Peakshares LLC reports $110,000,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have Peakshares LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Peakshares LLC: Regulatory assets under management: $0 in the October 2024 data and $110,000,000 in the October 2026 data. Total employees: 4 in October 2024 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Peakshares LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (2)."
    },
    {
      "q": "Does Peakshares LLC report any disciplinary disclosures?",
      "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(2)). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/329193"
    },
    {
      "q": "What changed in Peakshares LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $17,429,000 to $110,000,000 (+531%)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 0.0,
      "total_employees": 4,
      "filing_date": "2024-02-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 17429000.0,
      "total_employees": 4,
      "filing_date": "2025-03-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 110000000.0,
      "total_employees": 4,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $17,429,000 to $110,000,000 (+531%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/peakshares-llc-tampa-fl-329193.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 2,
      "fewer_than_5": false,
      "raum": 110000000.0
    }
  ],
  "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.",
  "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/329193",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}