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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PEAK AMERICAN INVESTMENT ADVISORS, INC.

CRD 145056

PLANO, TX

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:48f44cfa-0d16-41a4-49d7-29863f91948d

Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 48
Dated events: 18
On other graphs: 0
Observed: Jun 17, 2025 to Sep 8, 2026
5 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $162MItem 5.F on the latest filing (2026-09-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $162M
Private client RAUM: $162MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $16.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 700
Individual clients: 296
High net worth clients: 33
SEC number: 801-133891
CRD: 145056
Filings on the tape: 5
First filed: Jun 17, 2025
Latest filed: Sep 8, 2026
Organised: Corporation, TX
Website: peakamericanfinancial.com

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
JAMES CLIFFORD BASSETT	n/a	GRAND PRAIRIE, TX \| PLANO, TX	11	26	n/a	no
MATTHEW WADE MCINTYRE	n/a	PLANO, TX	8	10	2	no
Lori Anne Dunn	n/a	PLANO, TX	6	25	n/a	no
ROBERT SCOTT WILLIAMS	n/a	PLANO, TX	6	17	n/a	no
John Stephen Gacesa	n/a	PLANO, TX \| Kutztown, PA	5	10	n/a	no
JOHN DOUGLAS CONGDON	n/a	PLANO, TX	4	10	n/a	no
ROBERT DOUGLAS BLAIR	Certified Financial Planner	PLANO, TX	1	29	2	no
SCOTT MATTHEW SCHWITZER	n/a	PLANO, TX	1	17	3	no
AUSTIN LYNDON GARRON	n/a	PLANO, TX	1	10	2	no
Luke Gordon Schlenker	n/a	PLANO, TX	0	11	1	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
MCINTYRE, MATTHEW, WADE	President	Na	yes	08/2021	Sep 8, 2026	Sep 8, 2026
PEAK AMERICAN FINANCIAL	PARENT COMPANY	E	yes	08/2019	Sep 8, 2026	Sep 8, 2026
Dunn, Lori, Anne	DIRECTOR, CHIEF COMPLIANCE OFFICER, SECRETARY	Na	no	06/2020	Sep 8, 2026	Sep 8, 2026

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
2025	Jan 23, 2026	$126M	$126M	14	12	0	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
2	3	-1	30.0%	0	0	0	11	10

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
2025	$162M	n/a	n/a	n/a	n/a	10	n/a	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CSENGE ADVISORY GROUP, LLC	3	Jul 17, 2025	Oct 30, 2025	PLANO, TX	Team lift out	RIA to RIA	27.3%
DHL WEALTH MANAGEMENT LLC	2	Oct 11, 2022	Apr 21, 2023	PLANO, TX	Team lift out	RIA to state RIA	16.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FISHER INVESTMENTS	5	Aug 19, 2025	Nov 7, 2025	PLANO, TX	Team lift out	RIA to RIA	0.2%

Relationships

Controls (2)

← MCINTYRE, MATTHEW, WADEOwnerPRESIDENT, ownership code NA, individual
Sep 8, 2026 to presentfactForm ADV
← PEAK AMERICAN FINANCIALOwnerPARENT COMPANY, ownership code E, domestic entity
Sep 8, 2026 to presentfactForm ADV

Owns (1)

← Dunn, Lori, AnneOwnerDIRECTOR, CHIEF COMPLIANCE OFFICER, SECRETARY, ownership code NA, individual
Sep 8, 2026 to presentfactForm ADV

Registered with (42)

← Luke Gordon SchlenkerAdvisorregistration: current employment
Nov 7, 2025 to presentfactForm ADV
← AUSTIN LYNDON GARRONAdvisorregistration: current employment
Aug 15, 2025 to presentfactForm ADV
← SCOTT MATTHEW SCHWITZERAdvisorregistration: current employment
Mar 26, 2025 to presentfactForm ADV
← ROBERT DOUGLAS BLAIRAdvisorregistration: current employment
Feb 11, 2025 to presentfactForm ADV
← JOHN DOUGLAS CONGDONAdvisorregistration: current employment
Aug 1, 2022 to presentfactForm ADV
← John Stephen GacesaAdvisorregistration: current employment
Apr 28, 2021 to presentfactForm ADV
← ROBERT SCOTT WILLIAMSAdvisorregistration: current employment
Aug 3, 2020 to presentfactForm ADV
← Lori Anne DunnAdvisorregistration: current employment
Jan 2, 2020 to presentfactForm ADV
← MATTHEW WADE MCINTYREAdvisorregistration: current employment
Sep 13, 2018 to presentfactForm ADV
← JAMES CLIFFORD BASSETTAdvisorregistration: current employment
Jan 29, 2015 to presentfactForm ADV
← Crystal Latorial RosemanAdvisorregistration: previous registration
Sep 4, 2025 to Mar 4, 2026factForm ADV
← Jarrod BrockAdvisorregistration: previous registration
Oct 10, 2025 to Feb 12, 2026factForm ADV
← Hayden Lee VanoverAdvisorregistration: previous registration
Sep 4, 2025 to Nov 18, 2025factForm ADV
← Braiden SimpsonAdvisorregistration: previous registration
Aug 1, 2022 to Jul 22, 2025factForm ADV
← TREVOR LEE SCOTTAdvisorregistration: previous registration
Jan 23, 2025 to Jul 18, 2025factForm ADV
← Joseph Anthony NappiAdvisorregistration: previous registration
Jul 16, 2024 to Jul 17, 2025factForm ADV
← SHANE ALLEN O'BRIENAdvisorregistration: previous registration
Dec 2, 2024 to Apr 17, 2025factForm ADV
← JARED ARI LEVYAdvisorregistration: previous registration
Jan 17, 2025 to Jan 17, 2025factForm ADV
← John Allen PilkintonAdvisorregistration: previous registration
Oct 29, 2024 to Nov 13, 2024factForm ADV
← Matthew Clement HepburnAdvisorregistration: previous registration
Jul 12, 2019 to Jul 19, 2024factForm ADV
← STEPHEN GERALD SCHWESINGERAdvisorregistration: previous registration
Jan 30, 2017 to Aug 7, 2023factForm ADV
← Paden Ashlyn DemuthAdvisorregistration: previous registration
Apr 28, 2021 to Nov 18, 2022factForm ADV
← Aaron John HutchinsonAdvisorregistration: previous registration
Apr 4, 2022 to Oct 11, 2022factForm ADV
← Anthony Julian LaraAdvisorregistration: previous registration
May 18, 2022 to Oct 11, 2022factForm ADV
← MICHAEL STERNAdvisorregistration: previous registration
Sep 9, 2022 to Sep 27, 2022factForm ADV
← GARRETT NEWMANAdvisorregistration: previous registration
Aug 13, 2020 to Apr 12, 2021factForm ADV
← TAM THI LEAdvisorregistration: previous registration
Oct 29, 2020 to Nov 13, 2020factForm ADV
← PLACIDO JOHN RODRIGUEZAdvisorregistration: previous registration
Aug 24, 2020 to Sep 21, 2020factForm ADV
← Steven David ChafinAdvisorregistration: previous registration
Apr 15, 2019 to Jul 21, 2020factForm ADV
← THOMAS OHEARN EIFLERAdvisorregistration: previous registration
Jan 13, 2020 to May 7, 2020factForm ADV
and 12 more

Moved with (2)

← FISHER INVESTMENTSRegistered adviser5 advisors, team lift out
Aug 19, 2025 to Nov 7, 2025factForm ADV
→ CSENGE ADVISORY GROUP, LLCRegistered adviser3 advisors, team lift out
Jul 17, 2025 to Oct 30, 2025factForm ADV

Dated events

Occurred
Mar 4, 2026
Advisor changed firm
Crystal Latorial Roseman left Peak American Investment Advisors, Inc. for Advice And Planning Services (registered 2026-06-29)
Form ADVobserved 6 days ago
Occurred
Feb 12, 2026
Advisor changed firm
Jarrod Brock left Peak American Investment Advisors, Inc. for Mercer Global Advisors Inc. (registered 2026-04-22)
Form ADVobserved 6 days ago
Occurred
Nov 18, 2025
Advisor changed firm
Hayden Lee Vanover left Peak American Investment Advisors, Inc. for Mariner (registered 2026-02-12)
Form ADVobserved 6 days ago
Occurred
Aug 19, 2025
Team lift-out
5 advisors left Fisher Investments (Plano, TX) for Peak American Investment Advisors, Inc. within 35 days
Form ADVobserved 6 days ago
5 advisors
Occurred
Jul 22, 2025
Advisor changed firm
Braiden Simpson left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-28)
Form ADVobserved 6 days ago
Occurred
Jul 18, 2025
Advisor changed firm
Trevor Lee Scott left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-30)
Form ADVobserved 6 days ago
Occurred
Jul 17, 2025
Team lift-out
3 advisors left Peak American Investment Advisors, Inc. (Plano, TX) for Csenge Advisory Group, LLC within 5 days
Form ADVobserved 6 days ago
3 advisors
Occurred
Jul 17, 2025
Advisor changed firm
Joseph Anthony Nappi left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-29)
Form ADVobserved 6 days ago
Occurred
Apr 17, 2025
Advisor changed firm
Shane Allen O'Brien left Peak American Investment Advisors, Inc. for Vanguard Advisers, Inc. (registered 2026-08-25)
Form ADVobserved 6 days ago
Occurred
Jan 17, 2025
Advisor changed firm
Jared Ari Levy left Peak American Investment Advisors, Inc. for Avantax Advisory Services (registered 2025-03-20)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2024
Advisor changed firm
John Allen Pilkinton left Peak American Investment Advisors, Inc. for Empower Advisory Group, Llc (registered 2025-07-09)
Form ADVobserved 6 days ago
Occurred
Jul 19, 2024
Advisor changed firm
Matthew Clement Hepburn left Peak American Investment Advisors, Inc. for Portfolio Medics, Llc (registered 2024-07-19)
Form ADVobserved 6 days ago
Occurred
Aug 7, 2023
Advisor changed firm
Stephen Gerald Schwesinger left Peak American Investment Advisors, Inc. for Portfolio Medics, Llc (registered 2023-04-12)
Form ADVobserved 6 days ago
Occurred
Nov 18, 2022
Advisor changed firm
Paden Ashlyn Demuth left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-19)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2022
Team lift-out
2 advisors left Peak American Investment Advisors, Inc. (Plano, TX) for Dhl Wealth Management LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Oct 11, 2022
Advisor changed firm
Aaron John Hutchinson left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-21)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2022
Advisor changed firm
Anthony Julian Lara left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-21)
Form ADVobserved 6 days ago
Occurred
Sep 27, 2022
Advisor changed firm
Michael Stern left Peak American Investment Advisors, Inc. for Cetera Investment Advisers Llc (registered 2024-05-17)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48f44cfa-0d16-41a4-49d7-29863f91948d
First observed: Jun 17, 2025
Last observed: Sep 8, 2026 13 days 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.

PEAK AMERICAN INVESTMENT ADVISORS, INC.

CRD 145056

PLANO, TX

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:48f44cfa-0d16-41a4-49d7-29863f91948d

Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:35 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES CLIFFORD BASSETT

n/a

GRAND PRAIRIE, TX | PLANO, TX

n/a

MATTHEW WADE MCINTYRE

n/a

PLANO, TX

Lori Anne Dunn

n/a

PLANO, TX

n/a

ROBERT SCOTT WILLIAMS

n/a

PLANO, TX

n/a

John Stephen Gacesa

n/a

PLANO, TX | Kutztown, PA

n/a

JOHN DOUGLAS CONGDON

n/a

PLANO, TX

n/a

ROBERT DOUGLAS BLAIR

Certified Financial Planner

PLANO, TX

SCOTT MATTHEW SCHWITZER

n/a

PLANO, TX

AUSTIN LYNDON GARRON

n/a

PLANO, TX

Luke Gordon Schlenker

n/a

PLANO, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCINTYRE, MATTHEW, WADE

President

yes

08/2021

Sep 8, 2026

PEAK AMERICAN FINANCIAL

PARENT COMPANY

yes

08/2019

Sep 8, 2026

Dunn, Lori, Anne

DIRECTOR, CHIEF COMPLIANCE OFFICER, SECRETARY

06/2020

Sep 8, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 23, 2026

$126M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

30.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$162M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CSENGE ADVISORY GROUP, LLC

Jul 17, 2025

Oct 30, 2025

PLANO, TX

Team lift out

RIA to RIA

27.3%

DHL WEALTH MANAGEMENT LLC

Oct 11, 2022

Apr 21, 2023

PLANO, TX

Team lift out

RIA to state RIA

16.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FISHER INVESTMENTS

Aug 19, 2025

Nov 7, 2025

PLANO, TX

Team lift out

RIA to RIA

0.2%