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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PEAK FINANCIAL MANAGEMENT INC

CRD 110559

WELLESLEY, MA

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:a34a219f-16db-c083-1a45-08377440f9f2

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Jun 12, 2026
35 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $534MItem 5.F on the latest filing (2026-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $534M
Private client RAUM: $529MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $76.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 7
Offices: 8Schedule D 1.F, beyond the principal office
Accounts: 1,696
Individual clients: 192
High net worth clients: 161
Custody, client assets: $173M
SEC number: 801-39737
CIK: 1669662
CRD: 110559
Filings on the tape: 35
First filed: Mar 30, 2012
Latest filed: Jun 12, 2026
Organised: Corporation, MA

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
PRAN NATH TIKU	Certified Financial Planner\|Chartered Financial Consultant	BOSTON, MA \| WELLESLEY, MA \| NAPLES, FL	32	42	n/a	no
NEEL K. TIKU	n/a	NEWTON, MA \| WELLESLEY, MA	14	18	n/a	no
CHRISTOPHER KARL GAFFNEY	Certified Financial Planner	THE WOODLANDS, TX \| WELLESLEY, MA	12	29	2	no
JEFFREY CHARLES SMITH	Chartered Financial Analyst	HUDSON, MA \| WELLESLEY, MA	11	26	3	no
SHAUN PATRICK THOMPSON	Certified Financial Planner\|Chartered Financial Analyst	WELLESLEY, MA \| CAMBRIDGE, MA	8	18	2	no
ROBERT STEPHEN ROSELLI	Certified Financial Planner	WELLESLEY, MA \| MARLBORO, MA	7	32	1	no
ROBERTO MARIO PANDOLFI	Certified Financial Planner	WALTHAM, MA \| WELLESLEY, MA	6	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
GAFFNEY, CHRISTOPHER, KARL	VICE PRESIDENT AND SENIOR WEALTH ADVISOR	Na	yes	07/2017	Aug 11, 2017	Mar 20, 2024
THOMPSON, SHAUN, PATRICK	SENIOR WEALTH ADVISOR AND CHIEF COMPLIANCE OFFICER	Na	yes	04/2020	May 5, 2020	Mar 20, 2024
TIKU, PRAN, NATH	President	E	yes	08/1991	Mar 30, 2012	Mar 20, 2024
TIKU, NEEL	SENIOR RELATIONSHIP ADVISOR	B	no	12/2018	Mar 25, 2015	Mar 20, 2024

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 14, 2026	$534M	$534M	9	7	9	n/a	n/a
2024	Mar 6, 2025	$453M	$452M	9	7	9	n/a	n/a
2023	Mar 20, 2024	$405M	$405M	9	7	9	n/a	n/a
2022	Mar 27, 2023	$367M	$367M	9	7	1	n/a	n/a
2021	Mar 29, 2022	$396M	$396M	9	7	1	n/a	n/a
2020	Mar 18, 2021	$361M	$361M	9	7	0	n/a	n/a
2019	Mar 29, 2020	$316M	$315M	9	7	0	n/a	n/a
2018	Mar 28, 2019	$273M	$273M	10	5	0	n/a	n/a
2017	Mar 29, 2018	$287M	$285M	10	5	0	n/a	n/a
2016	Mar 28, 2017	$300M	$300M	10	5	n/a	n/a	n/a
2015	Mar 21, 2016	$300M	$300M	10	5	n/a	n/a	n/a
2014	Mar 25, 2015	$294M	$294M	8	5	n/a	n/a	n/a
2013	Mar 27, 2014	$301M	$301M	8	5	n/a	n/a	n/a
2012	Mar 11, 2013	$269M	$269M	8	5	n/a	n/a	n/a
2011	Mar 30, 2012	$258M	$258M	n/a	n/a	n/a	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
2025	$534M	$453M	18.0%	$367M	13.3%	9	9	8	9

Relationships

Registered with (11)

← ROBERTO MARIO PANDOLFIAdvisorregistration: current employment
Feb 11, 2020 to presentfactForm ADV
← ROBERT STEPHEN ROSELLIAdvisorregistration: current employment
Jul 2, 2019 to presentfactForm ADV
← SHAUN PATRICK THOMPSONAdvisorregistration: current employment
Nov 7, 2017 to presentfactForm ADV
← JEFFREY CHARLES SMITHAdvisorregistration: current employment
Sep 29, 2014 to presentfactForm ADV
← CHRISTOPHER KARL GAFFNEYAdvisorregistration: current employment
Aug 13, 2014 to presentfactForm ADV
← NEEL K. TIKUAdvisorregistration: current employment
May 21, 2012 to presentfactForm ADV
← PRAN NATH TIKUAdvisorregistration: current employment
Apr 14, 1994 to presentfactForm ADV
← KENNETH JAMES DEANAdvisorregistration: previous registration
Jan 14, 2016 to Jul 24, 2017factForm ADV
← KATHLEEN T KENEALYAdvisorregistration: previous registration
Oct 21, 2014 to Oct 28, 2015factForm ADV
← KERRY HENRY LURIAAdvisorregistration: previous registration
Apr 17, 2012 to Oct 1, 2014factForm ADV
← CHRISTOPHER CORY WHITEAdvisorregistration: previous registration
Mar 19, 2012 to Jul 21, 2014factForm ADV

Controls (3)

← TIKU, PRAN, NATHOwnerPRESIDENT, ownership code E, individual
Mar 30, 2012 to Mar 20, 2024factForm ADV
← GAFFNEY, CHRISTOPHER, KARLOwnerVICE PRESIDENT AND SENIOR WEALTH ADVISOR, ownership code NA, individual
Aug 11, 2017 to Mar 20, 2024factForm ADV
← THOMPSON, SHAUN, PATRICKOwnerSENIOR WEALTH ADVISOR AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 5, 2020 to Mar 20, 2024factForm ADV

Owns (1)

← TIKU, NEELOwnerSENIOR RELATIONSHIP ADVISOR, ownership code B, individual
Mar 25, 2015 to Mar 20, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 5, 2020
Control person joined
Patrick Shaun Thompson (Senior Wealth Advisor And Chief Compliance Officer) appeared on Schedule A of Peak Financial Management Inc
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Oct 25, 2023
Peak Financial Management Inc reported 9 offices beyond its principal office, up from 1 (2023-06-08 to 2023-10-25)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a34a219f-16db-c083-1a45-08377440f9f2
First observed: Mar 30, 2012
Last observed: Jun 12, 2026 3 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.

PEAK FINANCIAL MANAGEMENT INC

CRD 110559

WELLESLEY, MA

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:a34a219f-16db-c083-1a45-08377440f9f2

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PRAN NATH TIKU

Certified Financial Planner|Chartered Financial Consultant

BOSTON, MA | WELLESLEY, MA | NAPLES, FL

n/a

NEEL K. TIKU

n/a

NEWTON, MA | WELLESLEY, MA

n/a

CHRISTOPHER KARL GAFFNEY

Certified Financial Planner

THE WOODLANDS, TX | WELLESLEY, MA

JEFFREY CHARLES SMITH

Chartered Financial Analyst

HUDSON, MA | WELLESLEY, MA

SHAUN PATRICK THOMPSON

Certified Financial Planner|Chartered Financial Analyst

WELLESLEY, MA | CAMBRIDGE, MA

ROBERT STEPHEN ROSELLI

Certified Financial Planner

WELLESLEY, MA | MARLBORO, MA

ROBERTO MARIO PANDOLFI

Certified Financial Planner

WALTHAM, MA | WELLESLEY, MA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GAFFNEY, CHRISTOPHER, KARL

VICE PRESIDENT AND SENIOR WEALTH ADVISOR

yes

07/2017

Aug 11, 2017

Mar 20, 2024

THOMPSON, SHAUN, PATRICK

SENIOR WEALTH ADVISOR AND CHIEF COMPLIANCE OFFICER

yes

04/2020

May 5, 2020

Mar 20, 2024

TIKU, PRAN, NATH

President

yes

08/1991

Mar 30, 2012

Mar 20, 2024

TIKU, NEEL

SENIOR RELATIONSHIP ADVISOR

12/2018

Mar 25, 2015

Mar 20, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 14, 2026

$534M

n/a

2024

Mar 6, 2025

$453M

$452M

n/a

2023

Mar 20, 2024

$405M

n/a

2022

Mar 27, 2023

$367M

n/a

2021

Mar 29, 2022

$396M

n/a

2020

Mar 18, 2021

$361M

n/a

2019

Mar 29, 2020

$316M

$315M

n/a

2018

Mar 28, 2019

$273M

n/a

2017

Mar 29, 2018

$287M

$285M

n/a

2016

Mar 28, 2017

$300M

n/a

2015

Mar 21, 2016

$300M

n/a

2014

Mar 25, 2015

$294M

n/a

2013

Mar 27, 2014

$301M

n/a

2012

Mar 11, 2013

$269M

n/a

2011

Mar 30, 2012

$258M

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

2025

$534M

$453M

18.0%

$367M

13.3%