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RIA / WealthAdvisor32 years in industry

BRIAN DAVID LOCKHART

Advisor at PEAK CAPITAL MANAGEMENT, LLC

Greenwood Village, CO

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Search this name across graphsid dfx:ria:e51239f0-53f5-69fa-7070-be00af06ea1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 2
Observed: Sep 12, 1997 to Sep 14, 2026

Across DFX

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

Private Equityidentity

Brian David Lockhart

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

Brian David Lockhart

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: PEAK CAPITAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 6, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S63
First exam: Jul 6, 1994
First registration: Sep 12, 1997
Dual registered: no
IAPD individual key: 2508255

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PEAK CAPITAL MANAGEMENT, LLC	Independent wealth	Jan 18, 2007	n/a	yes	Greenwood Village, CO	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Mar 28, 2005	Jun 15, 2007	no	COLORADO SPRINGS, CO\|COLORADO SPRINGS, CO	Previous registration
CAMBRIDGE INVESTMENT RESEARCH, INC.	n/a	Jan 3, 2005	Mar 28, 2005	no	Colorado Springs, CO	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 12, 1997	Jan 7, 2005	no	COLORADO SPRINGS, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	PEAK CAPITAL MANAGEMENT, LLC	Jun 15, 2007	Jan 18, 2007	-148	Firm change after gap	Other
CAMBRIDGE INVESTMENT RESEARCH, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Mar 28, 2005	Mar 28, 2005	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH, INC.	Jan 7, 2005	Jan 3, 2005	-4	Firm change	Other

Relationships

Registered with (4)

→ PEAK CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 18, 2007 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 28, 2005 to Jun 15, 2007factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH, INC.Registered adviserregistration: previous registration
Jan 3, 2005 to Mar 28, 2005factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 12, 1997 to Jan 7, 2005factForm ADV

Dated events

No dated event names this entity yet.