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 Financial Management Inc
Latest filing Jun 12, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Aug 30, 1991
RAUM
$534M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$529M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$534M as of Jun 12, 2026
Mar 30, 2012$258M then
HNW client RAUM$462M as of Jun 12, 2026
Mar 29, 2018$222M then
State-registered IARs (5.B.3)7 as of Jun 12, 2026
Mar 11, 20133 then
Employees (5.A)9 as of Jun 12, 2026
Mar 11, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 7 to 7offices 9 to 8
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $315,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $173M, 196 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$462M86%
- Individuals$67.3M13%
- Pension and profit-sharing plans$5.6M1.1%
- Individual clients
- 192reported
- HNW clients
- 161reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,696reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $173M for 196 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Pran Nath TikuCertified Financial Planner, Chartered Financial Consultant | Boston, Ma | Apr 14, 1994 | 42 y | 0 |
| Neel K. Tiku | Newton, Ma | May 21, 2012 | 18 y | 0 |
| Christopher Karl GaffneyCertified Financial Planner | The Woodlands, Tx | Aug 13, 2014 | 29 y | 2 |
| Jeffrey Charles SmithChartered Financial Analyst | Hudson, Ma | Sep 29, 2014 | 26 y | 3 |
| Shaun Patrick ThompsonCertified Financial Planner, Chartered Financial Analyst | Wellesley, Ma | Nov 7, 2017 | 18 y | 2 |
| Robert Stephen RoselliCertified Financial Planner | Wellesley, Ma | Jul 2, 2019 | 32 y | 1 |
| Roberto Mario PandolfiCertified Financial Planner | Waltham, Ma | Feb 11, 2020 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
- Kenneth James Dean to Winthrop WealthJul 24, 2017 · Other
- Kathleen T Kenealy to Svb WealthOct 28, 2015 · Other
- Kerry Henry Luria to Lexington Wealth Management, Inc.Oct 1, 2014 · Other
- Christopher Cory White to Modera Wealth Management, LLCJul 21, 2014 · Other
Joined, latest
- Robert Stephen Roselli from Equitable Advisors, LLCJul 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- Shaun Patrick Thompson from Focus Partners Wealth, LLCNov 7, 2017 · Other
- Kenneth James Dean from Granite State Retirement Planning, Inc.Jan 14, 2016 · Other
- Jeffrey Charles Smith from Wellesley Investment Partners, LLCSep 29, 2014 · Other
- Christopher Karl Gaffney from Wellesley Investment Partners, LLCAug 13, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Karl Christopher Gaffney · Vice President And Senior Wealth Advisorcontrolsince 07/2017 · owns less than 5%
- Patrick Shaun Thompson · Senior Wealth Advisor And Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
- Nath Pran Tiku · Presidentcontrolsince 08/1991 · owns 75% or more
- Neel Tiku · Senior Relationship Advisorsince 12/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Wellesley, Ma · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 9 to 8Apr 14, 2026 to Jun 12, 2026
- Assets in custody · $20.3M to $173MMar 13, 2026 to Apr 14, 2026
- Accounts · 1,535 to 1,696Mar 6, 2025 to Mar 13, 2026
- Advisory activities · 2 to 3Mar 6, 2025 to Mar 13, 2026
- HNW clients · 144 to 161Mar 6, 2025 to Mar 13, 2026
- Individual clients · 197 to 192Mar 6, 2025 to Mar 13, 2026
- Assets in custody · $16.5M to $20.3MMar 6, 2025 to Mar 13, 2026
- Discretionary RAUM · $452M to $534MMar 6, 2025 to Mar 13, 2026
- HNW RAUM · $378M to $462MMar 6, 2025 to Mar 13, 2026
- Individual RAUM · $69.8M to $67.3MMar 6, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $342,985 to $0Mar 6, 2025 to Mar 13, 2026
- Pension RAUM · $5.0M to $5.6MMar 6, 2025 to Mar 13, 2026
- RAUM · $453M to $534MMar 6, 2025 to Mar 13, 2026
- Accounts · 1,477 to 1,535Mar 20, 2024 to Mar 6, 2025
- HNW clients · 123 to 144Mar 20, 2024 to Mar 6, 2025
- Individual clients · 217 to 197Mar 20, 2024 to Mar 6, 2025
- Assets in custody · $25.9M to $16.5MMar 20, 2024 to Mar 6, 2025
- Financial planning clients · 101-250 to 101-250Mar 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $405M to $452MMar 20, 2024 to Mar 6, 2025
- HNW RAUM · $321M to $378MMar 20, 2024 to Mar 6, 2025
- Individual RAUM · $82.0M to $69.8MMar 20, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $0 to $342,985Mar 20, 2024 to Mar 6, 2025
- Pension RAUM · $1.9M to $5.0MMar 20, 2024 to Mar 6, 2025
- RAUM · $405M to $453MMar 20, 2024 to Mar 6, 2025
- Accounts · 1,357 to 1,477Oct 25, 2023 to Mar 20, 2024
- HNW clients · 112 to 123Oct 25, 2023 to Mar 20, 2024
- Individual clients · 224 to 217Oct 25, 2023 to Mar 20, 2024
- Assets in custody · $17.6M to $25.9MOct 25, 2023 to Mar 20, 2024
- Discretionary RAUM · $367M to $405MOct 25, 2023 to Mar 20, 2024
- HNW RAUM · $282M to $321MOct 25, 2023 to Mar 20, 2024
- Individual RAUM · $83.4M to $82.0MOct 25, 2023 to Mar 20, 2024
- Pension RAUM · $1.8M to $1.9MOct 25, 2023 to Mar 20, 2024
- RAUM · $367M to $405MOct 25, 2023 to Mar 20, 2024
- Other offices · 1 to 9Jun 8, 2023 to Oct 25, 2023
- Accounts · 1,300 to 1,357Jul 21, 2022 to Mar 27, 2023
- HNW clients · 117 to 112Jul 21, 2022 to Mar 27, 2023
- Individual clients · 201 to 224Jul 21, 2022 to Mar 27, 2023
- Assets in custody · $18.3M to $17.6MJul 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $396M to $367MJul 21, 2022 to Mar 27, 2023
- HNW RAUM · $315M to $282MJul 21, 2022 to Mar 27, 2023
Signals
2 dated events
- Peak Financial Management Inc reported 9 offices beyond its principal office, up from 1 (2023-06-08 to 2023-10-25)Oct 25, 2023 · Office count change · derived
- Patrick Shaun Thompson (Senior Wealth Advisor And Chief Compliance Officer) appeared on Schedule A of Peak Financial Management IncMay 5, 2020 · Control person joined · fact
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
- luisa@peak-financial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-487-9500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-487-9501reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/238160/admin/feed/postsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- peak-financial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (781) 487-9500reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- peak-financial.com/contact-us/contact-formreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- peak-financial.com/who-we-are/welcomereportedpublished by the firm, firm site, Sep 16, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026