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 Capital Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2012 · 42 filings
SEC status approved since Apr 9, 2008
RAUM
$165M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
93%
$154M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$165M as of Mar 31, 2026
Mar 12, 2012$94.9M then
HNW client RAUM$127M as of Mar 31, 2026
Mar 23, 2018$79.6M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Jan 22, 20131 then
Employees (5.A)5 as of Mar 31, 2026
Jan 22, 20131 then
Private funds2 as of Mar 31, 2021
Feb 20, 20151 then
RAUM +11% over the last fiscal year+0.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $571,674derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M77%
- Individuals$26.9M16%
- Corporations and businesses$7.7M4.7%
- Pension and profit-sharing plans$3.6M2.1%
- Individual clients
- 73reported
- HNW clients
- 30reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 289reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian David Lockhart | Greenwood Village, Co | Jan 18, 2007 | 32 y | 3 |
| Clint Evan PekrulChartered Financial Analyst | Greenwood Village, Co | Jun 13, 2016 | 27 y | 1 |
| Quinlan Joseph Vandekoppel | Greenwood Village, Co | Jan 16, 2020 | 10 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
- Scott Erwin Arrasmith to Cambridge Investment Research Advisors, Inc.Aug 24, 2012 · Other
Joined, latest
- Clint Evan Pekrul from Curian Capital, LLCJun 13, 2016 · Other
- Brian David Lockhart from Cambridge Investment Research Advisors, Inc.Jan 18, 2007 · Other
- Scott Erwin Arrasmith from Cambridge Investment Research Advisors, Inc.Jan 18, 2007 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Atlf IV, LLCno longer reported | Private Equity Fund | $1.3M | 2 | Oct 23, 2018 |
| Pcm Tax Lien Fund, LPno longer reported | Private Equity Fund | $1.3M | 1 | Jul 24, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Nmn Bayard Dodge · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- David Brian Lockhart · Chief Executive Officer, Chief Investment Officercontrolsince 06/2006 · owns 10% to 25%
- Morris David Shepherd · Presidentcontrolsince 02/2020 · owns 75% or more of Frog Holdings, Inc.
Entity owners
- Shepherd Kaplan Krochuk, LLC · Managing Memberdirect · owns 75% or more
- Frog Holdings, Inc. · Memberindirect · owns 25% to 50% of Shepherd Kaplan Krochuk, LLC
Related persons
Schedule D 7.A
- Kairos Skk Envirokure Gp, LLCpooled vehicle sponsorn
- Pcf Capital Markets LLCbroker-dealern
- Shepherd Kaplan Krochuk, LLCinvestment adviseryRAUM $11B
- Shepherd Kaplan LLCinvestment adviserLP sponsoryRAUM $10B
- Skk 9i Ventures Manager, LLCpooled vehicle sponsorn
- Skk 9i Ventures Qp Manager, LLCpooled vehicle sponsorn
- Skk Group, LLCpooled vehicle sponsorn
- Skk Industrial Gp, LLCpooled vehicle sponsorn
- Skk Opportunity Zone Fund II Gp, LLCpooled vehicle sponsorn
- Skk Opportunity Zone Manager I, LLCpooled vehicle sponsorn
- Skk Provident Investors Gp, LLCpooled vehicle sponsorn
- Skk Real Estate Gp II, LLCpooled vehicle sponsorn
- Skk Ventures Manager, LLCpooled vehicle sponsorn
- Skk Ventures Qp Manager, LLCpooled vehicle sponsorn
- Skk-Fhr Gp, LLCpooled vehicle sponsorn
- Skk-Global Partners Property Fund I Gp, LLCpooled vehicle sponsorn
Advisers that list Peak Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 310 to 289Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 6 to 5Mar 31, 2025 to Mar 31, 2026
- HNW clients · 32 to 30Mar 31, 2025 to Mar 31, 2026
- Individual clients · 78 to 73Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $99.0M to $96.6MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $111M to $127MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $28.6M to $26.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $49.5M to $68.6MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $3.0M to $3.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $148M to $165MMar 31, 2025 to Mar 31, 2026
- Accounts · 354 to 310Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 7 to 6Mar 28, 2024 to Mar 31, 2025
- Individual clients · 90 to 78Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 3 to 2Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $109M to $99.0MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $116M to $111MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $31.9M to $28.6MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $46.6M to $49.5MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $2.6M to $3.0MMar 28, 2024 to Mar 31, 2025
- RAUM · $156M to $148MMar 28, 2024 to Mar 31, 2025
- Accounts · 544 to 354May 4, 2023 to Mar 28, 2024
- HNW clients · 31 to 32May 4, 2023 to Mar 28, 2024
- Individual clients · 125 to 90May 4, 2023 to Mar 28, 2024
- Pension plan clients · 5 to 3May 4, 2023 to Mar 28, 2024
- Employees · 6 to 5May 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $116M to $109MMay 4, 2023 to Mar 28, 2024
- HNW RAUM · $117M to $116MMay 4, 2023 to Mar 28, 2024
- Individual RAUM · $40.5M to $31.9MMay 4, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $48.9M to $46.6MMay 4, 2023 to Mar 28, 2024
- Pension RAUM · $2.5M to $2.6MMay 4, 2023 to Mar 28, 2024
- RAUM · $165M to $156MMay 4, 2023 to Mar 28, 2024
- Accounts · 504 to 544Jul 12, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Jul 12, 2022 to Mar 31, 2023
- Charity clients · 1 to 0Jul 12, 2022 to Mar 31, 2023
- Corporate clients · 10 to 7Jul 12, 2022 to Mar 31, 2023
- HNW clients · 40 to 31Jul 12, 2022 to Mar 31, 2023
- Individual clients · 131 to 125Jul 12, 2022 to Mar 31, 2023
- Pension plan clients · 7 to 5Jul 12, 2022 to Mar 31, 2023
- State-registered IARs · 4 to 3Jul 12, 2022 to Mar 31, 2023
Signals
8 dated events
- Evan Clint Pekrul (Director Of Research) no longer on Schedule A of Peak Capital Management, Llc (listed 2022-07-12, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- 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)Mar 31, 2023 · Control person left · inference
- Bayard Dodge (Chief Compliance Officer) appeared on Schedule A of Peak Capital Management, LlcMar 31, 2023 · Control person joined · fact
- 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)Sep 22, 2021 · Control person left · inference
- Thomas Jonathan Perry (Chief Financial Officer) no longer on Schedule A of Peak Capital Management, Llc (listed 2020-06-26, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Thomas Jonathan Perry (Chief Financial Officer) appeared on Schedule A of Peak Capital Management, LlcMar 30, 2020 · Control person joined · fact
- Morris David Shepherd (President) appeared on Schedule A of Peak Capital Management, LlcMar 30, 2020 · Control person joined · fact
- John Peter Dilorenzo (Chief Information Security Officer) appeared on Schedule A of Peak Capital Management, LlcMar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Peak Capital Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/peak-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PCMSTRATEGIES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 720 361-4016reportedpublic record, Form ADV, Mar 31, 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
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026