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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PEAK CAPITAL MANAGEMENT, LLC

CRD 141488

GREENWOOD VILLAGE, 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:d8d0ae92-9da3-06b8-f973-da8da5a383da

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 8
On other graphs: 1
Observed: Mar 12, 2012 to Mar 31, 2026
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Peak Capital Management, LLC

Private equity manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $165MItem 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: $96.6M
Private client RAUM: $154MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $41.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 289
Individual clients: 73
High net worth clients: 30
Custody, client assets: $0
SEC number: 801-69009
CIK: 17104
CRD: 141488
Filings on the tape: 42
First filed: Mar 12, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, CO

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
BRIAN DAVID LOCKHART	n/a	Greenwood Village, CO	19	32	3	no
CLINT EVAN PEKRUL	Chartered Financial Analyst	Greenwood Village, CO	10	27	1	no
Quinlan Joseph VandeKoppel	n/a	GREENWOOD VILLAGE, CO	6	10	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ATLF IV, LLC	Private Equity Fund	$1.3M	Jan 3, 2022	2	Oct 23, 2018	dropped	n/a
PCM TAX LIEN FUND, LP	Private Equity Fund	$1.3M	Jan 3, 2022	1	Jul 24, 2014	dropped	n/a

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
DODGE, BAYARD, NMN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024
FROG HOLDINGS, INC.	Member	C	yes	02/2020	Mar 30, 2020	Mar 28, 2024
LOCKHART, BRIAN, DAVID	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	B	yes	06/2006	Mar 12, 2012	Mar 28, 2024
SHEPHERD KAPLAN KROCHUK, LLC	MANAGING MEMBER	E	yes	02/2020	Mar 30, 2020	Mar 28, 2024
SHEPHERD, DAVID, MORRIS	President	E	yes	02/2020	Mar 30, 2020	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SHEPHERD KAPLAN KROCHUK, LLC	n/a	Other adviser	$11B	Y	no	n/a
SHEPHERD KAPLAN LLC	n/a	Asset manager	$10B	Y	no	n/a
KAIROS SKK ENVIROKURE GP, LLC	n/a	n/a	n/a	N	yes	n/a
PCF CAPITAL MARKETS LLC	n/a	n/a	n/a	N	no	n/a
SKK 9I VENTURES MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
SKK 9I VENTURES QP MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
SKK GROUP, LLC	n/a	n/a	n/a	N	yes	n/a
SKK INDUSTRIAL GP, LLC	n/a	n/a	n/a	N	yes	n/a
SKK OPPORTUNITY ZONE FUND II GP, LLC	n/a	n/a	n/a	N	yes	n/a
SKK OPPORTUNITY ZONE MANAGER I, LLC	n/a	n/a	n/a	N	yes	n/a
SKK PROVIDENT INVESTORS GP, LLC	n/a	n/a	n/a	N	yes	n/a
SKK REAL ESTATE GP II, LLC	n/a	n/a	n/a	N	yes	n/a
SKK VENTURES MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
SKK VENTURES QP MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
SKK-FHR GP, LLC	n/a	n/a	n/a	N	yes	n/a
SKK-GLOBAL PARTNERS PROPERTY FUND I GP, LLC	n/a	n/a	n/a	N	yes	n/a

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	$165M	$96.6M	5	3	0	n/a	n/a
2024	Mar 31, 2025	$148M	$99.0M	5	3	0	n/a	n/a
2023	Mar 28, 2024	$156M	$109M	5	3	0	n/a	n/a
2022	Mar 31, 2023	$165M	$116M	6	3	0	n/a	n/a
2021	Mar 30, 2022	$188M	$162M	6	4	0	n/a	n/a
2020	Mar 31, 2021	$193M	$193M	6	4	0	2	$2.6M
2019	Mar 30, 2020	$205M	$205M	6	6	0	2	$0
2018	Mar 27, 2019	$242M	$242M	8	4	2	2	$0
2017	Mar 23, 2018	$262M	$262M	6	3	2	1	$0
2016	Mar 21, 2017	$238M	$238M	7	3	n/a	1	$0
2015	Mar 30, 2016	$140M	$140M	7	3	n/a	1	$0
2014	Feb 20, 2015	$115M	$81.0M	4	2	n/a	1	$0
2013	Mar 26, 2014	$109M	$68.0M	4	2	n/a	n/a	n/a
2012	Jan 22, 2013	$99.1M	$64.3M	1	1	n/a	n/a	n/a
2011	Mar 12, 2012	$94.9M	$94.9M	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	$165M	$148M	11.3%	$165M	0.0%	5	5	0	0

Relationships

Affiliated with (5)

→ SHEPHERD KAPLAN KROCHUK, LLCRegistered adviserother investment adviser, control
factForm ADV
→ SHEPHERD KAPLAN LLCRegistered adviserother investment adviser, LP sponsor, control
factForm ADV
← SHEPHERD KAPLAN KROCHUK, LLCRegistered adviserother investment adviser, common control
factForm ADV
← SHEPHERD KAPLAN LLCRegistered adviserother investment adviser, common control
factForm ADV
← ALTRUISTIC INVESTINGRegistered adviserother investment adviser
factForm ADV

Registered with (5)

← JOHN HENRY GERINGERAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Quinlan Joseph VandeKoppelAdvisorregistration: current employment
Jan 16, 2020 to presentfactForm ADV
← CLINT EVAN PEKRULAdvisorregistration: current employment
Jun 13, 2016 to presentfactForm ADV
← BRIAN DAVID LOCKHARTAdvisorregistration: current employment
Jan 18, 2007 to presentfactForm ADV
← SCOTT ERWIN ARRASMITHAdvisorregistration: previous registration
Jan 18, 2007 to Aug 24, 2012factForm ADV

Controls (5)

← SHEPHERD KAPLAN KROCHUK, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2020 to Mar 28, 2024factForm ADV
← SHEPHERD, DAVID, MORRISOwnerPRESIDENT, ownership code E, individual
Mar 30, 2020 to Mar 28, 2024factForm ADV
← LOCKHART, BRIAN, DAVIDOwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 12, 2012 to Mar 28, 2024factForm ADV
← DODGE, BAYARD, NMNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2023 to Mar 28, 2024factForm ADV
← FROG HOLDINGS, INC.OwnerMEMBER, ownership code C, domestic entity
Mar 30, 2020 to Mar 28, 2024factForm ADV

Advises (2)

→ ATLF IV, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Oct 23, 2018 to Jan 3, 2022factForm ADV
→ PCM TAX LIEN FUND, LPPrivate fundPrivate Equity Fund, IA, no longer reported
Jul 24, 2014 to Jan 3, 2022factForm ADV

Dated events

Occurred
Mar 31, 2023
Control person left
Evan Clint Pekrul (Director Of Research) no longer on Schedule A of Peak Capital Management, Llc (listed 2022-07-12, absent 2023-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Control person left
John Peter Dilorenzo (Chief Compliance Officer, Chief Information Security Officer) no longer on Schedule A of Peak Capital Management, Llc (listed 2022-07-12, absent 2023-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Control person joined
Bayard Dodge (Chief Compliance Officer) appeared on Schedule A of Peak Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Sep 22, 2021
Control person left
Sean Geoffry Eliason (Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of Peak Capital Management, Llc (listed 2021-03-31, absent 2021-09-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Control person left
Thomas Jonathan Perry (Chief Financial Officer) no longer on Schedule A of Peak Capital Management, Llc (listed 2020-06-26, absent 2021-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person joined
Thomas Jonathan Perry (Chief Financial Officer) appeared on Schedule A of Peak Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person joined
Morris David Shepherd (President) appeared on Schedule A of Peak Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person joined
John Peter Dilorenzo (Chief Information Security Officer) appeared on Schedule A of Peak Capital Management, Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8d0ae92-9da3-06b8-f973-da8da5a383da
First observed: Mar 12, 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.

PEAK CAPITAL MANAGEMENT, LLC

CRD 141488

GREENWOOD VILLAGE, 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:d8d0ae92-9da3-06b8-f973-da8da5a383da

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN DAVID LOCKHART

n/a

Greenwood Village, CO

CLINT EVAN PEKRUL

Chartered Financial Analyst

Greenwood Village, CO

Quinlan Joseph VandeKoppel

n/a

GREENWOOD VILLAGE, CO

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ATLF IV, LLC

Private Equity Fund

$1.3M

Jan 3, 2022

Oct 23, 2018

dropped

n/a

PCM TAX LIEN FUND, LP

Private Equity Fund

$1.3M

Jan 3, 2022

Jul 24, 2014

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DODGE, BAYARD, NMN

CHIEF COMPLIANCE OFFICER

yes

03/2023

Mar 31, 2023

Mar 28, 2024

FROG HOLDINGS, INC.

Member

yes

02/2020

Mar 30, 2020

Mar 28, 2024

LOCKHART, BRIAN, DAVID

CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER

yes

06/2006

Mar 12, 2012

Mar 28, 2024

SHEPHERD KAPLAN KROCHUK, LLC

MANAGING MEMBER

yes

02/2020

Mar 30, 2020

Mar 28, 2024

SHEPHERD, DAVID, MORRIS

President

yes

02/2020

Mar 30, 2020

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SHEPHERD KAPLAN KROCHUK, LLC

n/a

Other adviser

$11B

n/a

SHEPHERD KAPLAN LLC

n/a

Asset manager

$10B

n/a

KAIROS SKK ENVIROKURE GP, LLC

n/a

yes

n/a

PCF CAPITAL MARKETS LLC

n/a

SKK 9I VENTURES MANAGER, LLC

n/a

yes

n/a

SKK 9I VENTURES QP MANAGER, LLC

n/a

yes

n/a

SKK GROUP, LLC

n/a

yes

n/a

SKK INDUSTRIAL GP, LLC

n/a

yes

n/a

SKK OPPORTUNITY ZONE FUND II GP, LLC

n/a

yes

n/a

SKK OPPORTUNITY ZONE MANAGER I, LLC

n/a

yes

n/a

SKK PROVIDENT INVESTORS GP, LLC

n/a

yes

n/a

SKK REAL ESTATE GP II, LLC

n/a

yes

n/a

SKK VENTURES MANAGER, LLC

n/a

yes

n/a

SKK VENTURES QP MANAGER, LLC

n/a

yes

n/a

SKK-FHR GP, LLC

n/a

yes

n/a

SKK-GLOBAL PARTNERS PROPERTY FUND I GP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$165M

$96.6M

n/a

2024

Mar 31, 2025

$148M

$99.0M

n/a

2023

Mar 28, 2024

$156M

$109M

n/a

2022

Mar 31, 2023

$165M

$116M

n/a

2021

Mar 30, 2022

$188M

$162M

n/a

2020

Mar 31, 2021

$193M

$2.6M

2019

Mar 30, 2020

$205M

2018

Mar 27, 2019

$242M

2017

Mar 23, 2018

$262M

2016

Mar 21, 2017

$238M

n/a

2015

Mar 30, 2016

$140M

n/a

2014

Feb 20, 2015

$115M

$81.0M

n/a

2013

Mar 26, 2014

$109M

$68.0M

n/a

2012

Jan 22, 2013

$99.1M

$64.3M

n/a

2011

Mar 12, 2012

$94.9M

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

$165M

$148M

11.3%

$165M

0.0%