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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PEAK INVESTMENT MANAGEMENT, LTD

PEAK INVESTMENT MANAGEMENT, LTD., CRD 107918

MISSOULA, MT

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:e9ee8c8b-2271-28a2-ad3c-51418a17ecaa

Data as of Feb 10, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Feb 10, 2016
13 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $207MItem 5.F on the latest filing (2016-02-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $207M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Accounts: 98
SEC number: 801-54886
CRD: 107918
Filings on the tape: 13
First filed: Mar 30, 2012
Latest filed: Feb 10, 2016
Organised: Corporation, Montana

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
ALPS CORPORATION	Owner	E	yes	08/1997	Mar 19, 2014	Feb 10, 2016
REHBEIN, DAVID, ROBERT	President	Na	yes	08/1997	Mar 30, 2012	Feb 10, 2016
NEUMAN, JESSICA, RENEE	CHIEF COMPLIANCE OFFICER/OPERATIONS MANAGER	Na	no	08/2001	Mar 30, 2012	Feb 10, 2016

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
ALPS CORPORATION	n/a	n/a	n/a	Y	no	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
2015	Jan 29, 2016	$207M	$207M	3	2	n/a	n/a	n/a
2014	Mar 20, 2015	$202M	$202M	3	2	n/a	n/a	n/a
2013	Mar 19, 2014	$188M	$188M	3	2	n/a	n/a	n/a
2012	Apr 1, 2013	$202M	$202M	4	3	n/a	n/a	n/a
2011	Mar 30, 2012	$237M	$237M	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
2015	$207M	$202M	2.6%	$202M	0.9%	3	3	n/a	n/a

Relationships

Controls (2)

← REHBEIN, DAVID, ROBERTOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ALPS CORPORATIONOwnerOWNER, ownership code E, domestic entity
Mar 19, 2014 to presentfactForm ADV

Owns (1)

← NEUMAN, JESSICA, RENEEOwnerCHIEF COMPLIANCE OFFICER/OPERATIONS MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (3)

← HANNAH LYNNE SANTA CRUZAdvisorregistration: previous registration
Jul 25, 2013 to Sep 13, 2016factForm ADV
← GEOFFREY EDWARD GILBERTAdvisorregistration: previous registration
Jul 17, 2006 to Apr 19, 2013factForm ADV
← JIMMY RAY HUGGINSAdvisorregistration: previous registration
Jan 13, 2009 to Jul 31, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9ee8c8b-2271-28a2-ad3c-51418a17ecaa
First observed: Mar 30, 2012
Last observed: Feb 10, 2016 129 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 INVESTMENT MANAGEMENT, LTD

PEAK INVESTMENT MANAGEMENT, LTD., CRD 107918

MISSOULA, MT

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:e9ee8c8b-2271-28a2-ad3c-51418a17ecaa

Data as of Feb 10, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:55 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALPS CORPORATION

Owner

yes

08/1997

Mar 19, 2014

Feb 10, 2016

REHBEIN, DAVID, ROBERT

President

yes

08/1997

Mar 30, 2012

Feb 10, 2016

NEUMAN, JESSICA, RENEE

CHIEF COMPLIANCE OFFICER/OPERATIONS MANAGER

08/2001

Mar 30, 2012

Feb 10, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALPS CORPORATION

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Jan 29, 2016

$207M

n/a

2014

Mar 20, 2015

$202M

n/a

2013

Mar 19, 2014

$188M

n/a

2012

Apr 1, 2013

$202M

n/a

2011

Mar 30, 2012

$237M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$207M

$202M

2.6%

$202M

0.9%

n/a