DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SUNLIGHT PEAKS

SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC, CRD 315251

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2c92f007-d8d2-0bb5-ca89-6b2621fc5746

Data as of Jul 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jun 4, 2021 to Jul 25, 2023
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $43.4MItem 5.F on the latest filing (2023-07-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $43.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $14.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 13
High net worth clients: 13
SEC number: 801-121694
CRD: 315251
Filings on the tape: 17
First filed: Jun 4, 2021
Latest filed: Jul 25, 2023
Organised: Limited Liability Company, Delaware

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RYAN DOUGLAS PARSON	Certified Financial Planner\|Chartered Financial Consultant	GLENWOOD SPRINGS, CO	4	25	1	no
Mark Lewis	Chartered Financial Consultant	Phoenix, AZ \| GLENWOOD SPRINGS, CO	4	27	n/a	no
SAM A BERITELA	n/a	Sparks, MD \| GLENWOOD SPRINGS, CO	4	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BERITELA, SAM, A	CHIEF COMPLIANCE OFFICER	Na	yes	06/2021	Jun 4, 2021	Jul 25, 2023
PARSON, RYAN, DOUGLAS	Owner	E	yes	04/2021	Jun 4, 2021	Jul 25, 2023
PARSON, RYAN, DOUGLAS	PRESIDENT AND CEO	Na	yes	04/2021	Jun 4, 2021	Jul 25, 2023
HERITAGE CAPITAL USA, INC	Owner	E	no	04/2021	Feb 25, 2022	Jul 25, 2023
HERITAGE MANAGEMENT GROUP, LLC	HOLDING COMPANY	E	no	04/2021	Feb 25, 2022	Jul 25, 2023

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 2023	$44.4M	$0	3	3	3	n/a	n/a
2021	Feb 25, 2022	$125M	$125M	5	3	5	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$43.4M	$125M	-65.3%	n/a	n/a	3	5	3	5

Relationships

Controls (2)

← PARSON, RYAN, DOUGLASOwnerOWNER, ownership code E, individual
Jun 4, 2021 to presentfactForm ADV
← BERITELA, SAM, AOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 4, 2021 to presentfactForm ADV

Owns (2)

← HERITAGE CAPITAL USA, INCOwnerOWNER, ownership code E, domestic entity
Feb 25, 2022 to presentfactForm ADV
← HERITAGE MANAGEMENT GROUP, LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Feb 25, 2022 to presentfactForm ADV

Registered with (3)

← SAM A BERITELAAdvisorregistration: current employment
May 6, 2022 to presentfactForm ADV
← Mark LewisAdvisorregistration: current employment
Oct 18, 2021 to presentfactForm ADV
← RYAN DOUGLAS PARSONAdvisorregistration: current employment
Oct 7, 2021 to presentfactForm ADV

Dated events

Occurred
Jul 1, 2022
Control person left
Sachs Ellen Katz (Coo) no longer on Schedule A of Sunlight Peaks (listed 2022-05-13, absent 2022-07-01)
Form ADVobserved 4 days ago
Occurred
Jun 4, 2021
First Form ADV filing
Sunlight Peaks filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c92f007-d8d2-0bb5-ca89-6b2621fc5746
First observed: Jun 4, 2021
Last observed: Jul 25, 2023 38 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SUNLIGHT PEAKS

SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC, CRD 315251

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2c92f007-d8d2-0bb5-ca89-6b2621fc5746

Data as of Jul 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:45 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RYAN DOUGLAS PARSON

Certified Financial Planner|Chartered Financial Consultant

GLENWOOD SPRINGS, CO

Mark Lewis

Chartered Financial Consultant

Phoenix, AZ | GLENWOOD SPRINGS, CO

n/a

SAM A BERITELA

n/a

Sparks, MD | GLENWOOD SPRINGS, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERITELA, SAM, A

CHIEF COMPLIANCE OFFICER

yes

06/2021

Jun 4, 2021

Jul 25, 2023

PARSON, RYAN, DOUGLAS

Owner

yes

04/2021

Jun 4, 2021

Jul 25, 2023

PARSON, RYAN, DOUGLAS

PRESIDENT AND CEO

yes

04/2021

Jun 4, 2021

Jul 25, 2023

HERITAGE CAPITAL USA, INC

Owner

04/2021

Feb 25, 2022

Jul 25, 2023

HERITAGE MANAGEMENT GROUP, LLC

HOLDING COMPANY

04/2021

Feb 25, 2022

Jul 25, 2023

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 31, 2023

$44.4M

n/a

2021

Feb 25, 2022

$125M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$43.4M

$125M

-65.3%

n/a