DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Peak Asset Management, LLC
Latest filing Mar 12, 2026
First filing on the tape Mar 27, 2012 · 36 filings
SEC status approved since Apr 22, 1996
RAUM
$1.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$979M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$72.2M
derived; firm RAUM over IAPD count
Employees
16
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.0B as of Mar 12, 2026
Mar 27, 2012$202M then
HNW client RAUM$920M as of Mar 12, 2026
Mar 16, 2018$467M then
State-registered IARs (5.B.3)14 as of Mar 12, 2026
Apr 1, 20136 then
Employees (5.A)16 as of Mar 12, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 11 to 14
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $72.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $903,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $443M, 309 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$920M91%
- Individuals$58.9M5.8%
- Charitable organizations$26.6M2.6%
- Pension and profit-sharing plans$4.1M0.4%
- Corporations and businesses$1.2M0.1%
- Individual clients
- 118reported
- HNW clients
- 215reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 1,119reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $443M for 309 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Noel Fletcher Bennett | Louisville, Co | Oct 14, 1999 | 27 y | 0 |
| John Neal MccorvieChartered Financial Analyst | Louisville, Co | Dec 28, 2000 | 39 y | 1 |
| Tara Jill HeftyChartered Financial Analyst | Louisville, Co | Dec 1, 2009 | 19 y | 0 |
| Terry L Robinette | Louisville, Co | May 22, 2012 | 27 y | 1 |
| Peter Viking Hedberg | Louisville, Co | Jun 5, 2012 | 42 y | 0 |
| Brent Charles YanagidaCertified Financial Planner | Louisville, Co | Oct 5, 2015 | 18 y | 2 |
| Julie Fauble PribbleChartered Financial Analyst | Louisville, Co | Mar 29, 2016 | 33 y | 2 |
| John Hotchkiss RussellChartered Financial Analyst | Needham, Ma | Aug 27, 2020 | 12 y | 0 |
| Bethany Alyssa AylorCertified Financial Planner | Louisville, Co | Mar 18, 2021 | 11 y | 2 |
| Sophia Newbury Berglund | Louisville, Co | Jan 20, 2023 | 10 y | 0 |
| Timothy Macgruder BurtChartered Financial Analyst | Simi Valley, Ca | Apr 21, 2023 | 20 y | 1 |
| Grant BugnerCertified Financial Planner | Louisville, Co | Jan 12, 2024 | 15 y | 1 |
| Jason Roland Foster | Louisville, Co | Jan 23, 2024 | 10 y | 1 |
| Cassidy Steck | Louisville, Co | Aug 20, 2025 | 14 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Hope Gena Albu to Holcombe Financial, Inc.Nov 29, 2023 · RIA to RIA
- John Joseph Glasman to Gilpin Wealth Management LLCJun 2, 2021 · RIA to RIA
Joined, latest
- Cassidy Steck from PathstoneAug 20, 2025 · RIA to RIA
- Jason Roland Foster from J.P. Morgan Securities LLCJan 23, 2024 · Wirehouse to independent RIA
- Grant Bugner from Rosel Wealth Management, LLCJan 12, 2024 · RIA to RIA
- Timothy Macgruder Burt from Timothy M. Burt, CFAApr 21, 2023 · Other
- Hope Gena Albu from Personal Capital Advisors CorporationDec 8, 2021 · RIA to RIA
- Bethany Alyssa Aylor from J.P. Morgan Securities LLCMar 18, 2021 · Wirehouse to independent RIA
- Julie Fauble Pribble from Cobiz WealthMar 29, 2016 · Other
- Brent Charles Yanagida from Ace Investing Services, Inc.Oct 5, 2015 · Other
- Terry L Robinette from Hcm Investors IncMay 22, 2012 · Other
- John Joseph Glasman from Wells Fargo Investments, LLCNov 9, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Neal John Mccorvie · Cco Membercontrolsince 03/2000 · owns less than 5%
- Jill Tara Hefty · Managing Membercontrolsince 04/2009 · owns 75% or more of Tara Hume Financial Consulting, LLC
- Neal John Mccorvie · Managing Membercontrolsince 01/2023 · owns 75% or more of Mccorvie Financial, LLC
Entity owners
- Mccorvie Financial, LLC · Memberdirect · owns 25% to 50%
- Tara Hume Financial Consulting, LLC · Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Co · principal | 14 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 12, 2026Hefty, TARA, JILL (MANAGING MEMBER) left Schedule A between the filings of 2023-03-23 and 2026-03-12peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,058 to 1,119Dec 9, 2025 to Mar 12, 2026
- Advisory employees · 11 to 14Dec 9, 2025 to Mar 12, 2026
- HNW clients · 187 to 215Dec 9, 2025 to Mar 12, 2026
- Individual clients · 126 to 118Dec 9, 2025 to Mar 12, 2026
- Assets in custody · $409M to $443MDec 9, 2025 to Mar 12, 2026
- State-registered IARs · 11 to 14Dec 9, 2025 to Mar 12, 2026
- Discretionary RAUM · $902M to $1.0BDec 9, 2025 to Mar 12, 2026
- HNW RAUM · $807M to $920MDec 9, 2025 to Mar 12, 2026
- Individual RAUM · $73.7M to $58.9MDec 9, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $8.2M to $7.1MDec 9, 2025 to Mar 12, 2026
- Pension RAUM · $3.3M to $4.1MDec 9, 2025 to Mar 12, 2026
- RAUM · $910M to $1.0BDec 9, 2025 to Mar 12, 2026
- Accounts · 1,025 to 1,058Mar 27, 2024 to Apr 7, 2025
- Advisory employees · 14 to 11Mar 27, 2024 to Apr 7, 2025
- HNW clients · 180 to 187Mar 27, 2024 to Apr 7, 2025
- Individual clients · 119 to 126Mar 27, 2024 to Apr 7, 2025
- Assets in custody · $374M to $409MMar 27, 2024 to Apr 7, 2025
- Financial planning clients · 51-100 to 1-10Mar 27, 2024 to Apr 7, 2025
- State-registered IARs · 14 to 11Mar 27, 2024 to Apr 7, 2025
- Discretionary RAUM · $817M to $902MMar 27, 2024 to Apr 7, 2025
- HNW RAUM · $734M to $807MMar 27, 2024 to Apr 7, 2025
- Individual RAUM · $62.7M to $73.7MMar 27, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $8.3M to $8.2MMar 27, 2024 to Apr 7, 2025
- Pension RAUM · $3.2M to $3.3MMar 27, 2024 to Apr 7, 2025
- RAUM · $825M to $910MMar 27, 2024 to Apr 7, 2025
- Accounts · 948 to 1,025Jan 23, 2024 to Mar 27, 2024
- Advisory employees · 11 to 14Jan 23, 2024 to Mar 27, 2024
- HNW clients · 167 to 180Jan 23, 2024 to Mar 27, 2024
- Individual clients · 114 to 119Jan 23, 2024 to Mar 27, 2024
- Assets in custody · $294M to $374MJan 23, 2024 to Mar 27, 2024
- Employees · 15 to 16Jan 23, 2024 to Mar 27, 2024
- State-registered IARs · 11 to 14Jan 23, 2024 to Mar 27, 2024
- Discretionary RAUM · $677M to $817MJan 23, 2024 to Mar 27, 2024
- HNW RAUM · $623M to $734MJan 23, 2024 to Mar 27, 2024
- Individual RAUM · $53.4M to $62.7MJan 23, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $25.8M to $8.3MJan 23, 2024 to Mar 27, 2024
- Pension RAUM · $2.1M to $3.2MJan 23, 2024 to Mar 27, 2024
- RAUM · $703M to $825MJan 23, 2024 to Mar 27, 2024
- Accounts · 906 to 948Nov 9, 2022 to Mar 23, 2023
- Advisory employees · 10 to 11Nov 9, 2022 to Mar 23, 2023
Signals
4 dated events
- Hope Gena Albu left Peak Asset Management, Llc for Holcombe Financial, Inc. (registered 2024-01-19)Nov 29, 2023 · Advisor changed firm · fact
- Joseph John Glasman (President) no longer on Schedule A of Peak Asset Management, Llc (listed 2021-03-29, absent 2021-06-09)Jun 9, 2021 · Control person left · inference
- William Terrance Hefty (Manager) no longer on Schedule A of Peak Asset Management, Llc (listed 2020-03-27, absent 2020-06-15)Jun 15, 2020 · Control person left · inference
- Fletcher Noel Bennett (Manager) no longer on Schedule A of Peak Asset Management, Llc (listed 2020-03-27, absent 2020-06-15)Jun 15, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- peakam@peakam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-298-9081reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-926-0100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PEAK-ASSET-MANAGEMENT-LLC-COLORADOreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PEAKAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-926-0100reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- peakam.com/team-member/cassidy-steckreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026