# Peakshares LLC

> 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.

- CRD: 329193
- Filed as: PEAKSHARES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Tampa, FL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/329193
- AdvisorCensus page: https://advisorcensus.com/firm/peakshares-llc-tampa-fl-329193

## Quick answers

**How is Peakshares LLC compensated?**
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.

**Where is Peakshares LLC located?**
Peakshares LLC's principal office is in Tampa, FL, according to its Form ADV.

**Is Peakshares LLC registered with the SEC or a state?**
Peakshares LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 329193.

**How much does Peakshares LLC manage?**
Peakshares LLC reports $110,000,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Peakshares LLC's assets and staff changed since 2024?**
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.

**What types of clients does Peakshares LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (2).

**Does Peakshares LLC report any disciplinary disclosures?**
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

**What changed in Peakshares LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $17,429,000 to $110,000,000 (+531%).

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $110,000,000
- Discretionary: $110,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 2 | $110,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2024 (2 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 8 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 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.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?

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 SEC record: https://adviserinfo.sec.gov/firm/summary/329193

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $0 | 4 | February 5, 2024 |
| October 2025 | $17,429,000 | 4 | March 28, 2025 |
| October 2026 | $110,000,000 | 4 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $17,429,000 to $110,000,000 (+531%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Peakshares LLC (CRD 329193): Form ADV filing data as of October 2026.