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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

THREE PEAKS CAPITAL MANAGEMENT, LLC

CRD 127402

CASTLE ROCK, CO

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:64f83bb0-d4fb-7d0a-ee92-10f5f9d2bb3a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Mar 13, 2012 to Mar 31, 2026
31 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=0.64 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $223MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $223M
Private client RAUM: $142MderivedItem 5.D individuals plus high net worth individuals
Private client share: 64%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 72
Individual clients: 31
High net worth clients: 29
Custody, client assets: $0
SEC number: 801-62196
CIK: 1598013
CRD: 127402
Filings on the tape: 31
First filed: Mar 13, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, CO
Website: threepeaks.com

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
BAUMAN, ANDREW, LEE	CHIEF OPERATIONS OFFICER	Na	yes	01/2012	Mar 13, 2012	Mar 13, 2024
RUFENACHT, SANDY, RAY	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	E	yes	06/2003	Mar 13, 2012	Mar 13, 2024
MCLAUGHLIN, ASHLEY, DIANE	CHIEF COMPLIANCE OFFICER	Na	no	09/2020	Sep 11, 2020	Mar 13, 2024

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	Mar 31, 2026	$223M	$223M	5	4	0	n/a	n/a
2024	Mar 26, 2025	$251M	$251M	5	4	0	n/a	n/a
2023	Mar 13, 2024	$230M	$230M	5	4	0	n/a	n/a
2022	Mar 28, 2023	$215M	$215M	5	4	0	n/a	n/a
2021	Mar 28, 2022	$233M	$233M	6	5	0	n/a	n/a
2020	Mar 26, 2021	$618M	$618M	6	5	0	n/a	n/a
2019	Feb 19, 2020	$717M	$717M	7	5	0	n/a	n/a
2018	Feb 19, 2019	$719M	$719M	8	5	0	n/a	n/a
2017	Mar 8, 2018	$1.1B	$1.1B	7	4	0	n/a	n/a
2016	Mar 7, 2017	$1.1B	$1.1B	7	3	n/a	n/a	n/a
2015	Feb 23, 2016	$850M	$850M	8	5	n/a	n/a	n/a
2014	Feb 18, 2015	$554M	$554M	7	4	n/a	n/a	n/a
2013	Feb 25, 2014	$1.1B	$1.1B	8	5	n/a	n/a	n/a
2012	Mar 21, 2013	$1.3B	$1.3B	9	7	n/a	n/a	n/a
2011	Mar 13, 2012	$1.3B	$1.3B	n/a	n/a	n/a	n/a	n/a

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	$223M	$251M	-11.1%	$215M	1.1%	5	5	0	0

Relationships

Controls (2)

← RUFENACHT, SANDY, RAYOwnerMANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 13, 2012 to Mar 13, 2024factForm ADV
← BAUMAN, ANDREW, LEEOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Mar 13, 2012 to Mar 13, 2024factForm ADV

Owns (1)

← MCLAUGHLIN, ASHLEY, DIANEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 11, 2020 to Mar 13, 2024factForm ADV

Dated events

Occurred
Jan 6, 2022
Regulatory AUM changed
Three Peaks Capital Management, Llc reported RAUM $233.3M, down 62% from $617.9M (2021-10-29 to 2022-01-06)
Form ADVobserved 4 days ago
$-385M
Occurred
Sep 11, 2020
Control person left
Lynn Kimberly Collins (Chief Compliance Officer) no longer on Schedule A of Three Peaks Capital Management, Llc (listed 2020-06-26, absent 2020-09-11)
Form ADVobserved 4 days ago
Occurred
Feb 19, 2019
Regulatory AUM changed
Three Peaks Capital Management, Llc reported RAUM $718.8M, down 36% from $1.1B (2018-03-08 to 2019-02-19)
Form ADVobserved 4 days ago
$-409M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64f83bb0-d4fb-7d0a-ee92-10f5f9d2bb3a
First observed: Mar 13, 2012
Last observed: Mar 31, 2026 5 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.

THREE PEAKS CAPITAL MANAGEMENT, LLC

CRD 127402

CASTLE ROCK, CO

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:64f83bb0-d4fb-7d0a-ee92-10f5f9d2bb3a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAUMAN, ANDREW, LEE

CHIEF OPERATIONS OFFICER

yes

01/2012

Mar 13, 2012

Mar 13, 2024

RUFENACHT, SANDY, RAY

MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER

yes

06/2003

Mar 13, 2012

Mar 13, 2024

MCLAUGHLIN, ASHLEY, DIANE

CHIEF COMPLIANCE OFFICER

09/2020

Sep 11, 2020

Mar 13, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$223M

n/a

2024

Mar 26, 2025

$251M

n/a

2023

Mar 13, 2024

$230M

n/a

2022

Mar 28, 2023

$215M

n/a

2021

Mar 28, 2022

$233M

n/a

2020

Mar 26, 2021

$618M

n/a

2019

Feb 19, 2020

$717M

n/a

2018

Feb 19, 2019

$719M

n/a

2017

Mar 8, 2018

$1.1B

n/a

2016

Mar 7, 2017

$1.1B

n/a

2015

Feb 23, 2016

$850M

n/a

2014

Feb 18, 2015

$554M

n/a

2013

Feb 25, 2014

$1.1B

n/a

2012

Mar 21, 2013

$1.3B

n/a

2011

Mar 13, 2012

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$223M

$251M

-11.1%

$215M

1.1%