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 American Investment Advisors, Inc.

Independent wealth managerPlano, TexasCRD 145056SEC 801-133891websiteIAPD
Latest filing Sep 8, 2026
First filing on the tape Jun 17, 2025 · 5 filings
SEC status approved since Jul 17, 2025
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$162M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$16.2M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$149M as of Jun 23, 2026
Jun 17, 2025$100M then
HNW client RAUM$69.0M as of Jun 23, 2026
Jun 17, 2025$25.2M then
State-registered IARs (5.B.3)10 as of Jun 23, 2026
Jun 17, 202513 then
Employees (5.A)10 as of Jun 23, 2026
Jun 17, 202513 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 8, 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
$16.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$231,501derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$91.0M56%
  • High-net-worth individuals$71.1M44%
Individual clients
296reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
700reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Clifford BassettGrand Prairie, Tx Jan 29, 201526 y0
Matthew Wade McintyrePlano, TxSep 13, 201810 y2
Lori Anne DunnPlano, TxJan 2, 202025 y0
Robert Scott WilliamsPlano, TxAug 3, 202017 y0
John Stephen GacesaPlano, Tx Apr 28, 202110 y0
John Douglas CongdonPlano, TxAug 1, 202210 y0
Robert Douglas BlairCertified Financial PlannerPlano, TxFeb 11, 202529 y2
Scott Matthew SchwitzerPlano, TxMar 26, 202517 y3
Austin Lyndon GarronPlano, TxAug 15, 202510 y2
Luke Gordon SchlenkerPlano, TxNov 7, 202511 y1
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 30% of current headcount10 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Wade Matthew Mcintyre · Presidentcontrol
    since 08/2021 · owns less than 5%
  • Anne Lori Dunn · Director, Chief Compliance Officer, Secretary
    since 06/2020 · owns less than 5%
Entity owners
  • Peak American Financial · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Plano, Tx · principal1013
Newtown Square, Pa000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • business activity changedChange between filings · filing Sep 8, 2026
    selection of other advisers (Item 5.G.7): yes on the filing of 2026-06-23, no on the filing of 2026-09-08
    peers: independent wealth managers, $100M to $500M (5,676)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 650 to 700
    Jun 23, 2026 to Sep 8, 2026
  • Advisory activities · 4 to 2
    Jun 23, 2026 to Sep 8, 2026
  • HNW clients · 29 to 33
    Jun 23, 2026 to Sep 8, 2026
  • Individual clients · 429 to 296
    Jun 23, 2026 to Sep 8, 2026
  • Financial planning clients · 251-500 to 251-500
    Jun 23, 2026 to Sep 8, 2026
  • Discretionary RAUM · $149M to $162M
    Jun 23, 2026 to Sep 8, 2026
  • HNW RAUM · $69.0M to $71.1M
    Jun 23, 2026 to Sep 8, 2026
  • Individual RAUM · $80.0M to $91.0M
    Jun 23, 2026 to Sep 8, 2026
  • RAUM · $149M to $162M
    Jun 23, 2026 to Sep 8, 2026
  • Succession · false to unset
    Jun 23, 2026 to Sep 8, 2026
  • Accounts · 614 to 650
    Jan 23, 2026 to Jun 23, 2026
  • Advisory employees · 12 to 10
    Jan 23, 2026 to Jun 23, 2026
  • HNW clients · 18 to 29
    Jan 23, 2026 to Jun 23, 2026
  • Individual clients · 385 to 429
    Jan 23, 2026 to Jun 23, 2026
  • Employees · 14 to 10
    Jan 23, 2026 to Jun 23, 2026
  • State-registered IARs · 14 to 10
    Jan 23, 2026 to Jun 23, 2026
  • Discretionary RAUM · $126M to $149M
    Jan 23, 2026 to Jun 23, 2026
  • HNW RAUM · $33.9M to $69.0M
    Jan 23, 2026 to Jun 23, 2026
  • Individual RAUM · $92.4M to $80.0M
    Jan 23, 2026 to Jun 23, 2026
  • RAUM · $126M to $149M
    Jan 23, 2026 to Jun 23, 2026
  • Accounts · 567 to 614
    Oct 2, 2025 to Jan 23, 2026
  • Advisory employees · 11 to 12
    Oct 2, 2025 to Jan 23, 2026
  • HNW clients · 9 to 18
    Oct 2, 2025 to Jan 23, 2026
  • Individual clients · 323 to 385
    Oct 2, 2025 to Jan 23, 2026
  • Employees · 13 to 14
    Oct 2, 2025 to Jan 23, 2026
  • State-registered IARs · 13 to 14
    Oct 2, 2025 to Jan 23, 2026
  • Discretionary RAUM · $100M to $126M
    Oct 2, 2025 to Jan 23, 2026
  • HNW RAUM · $25.2M to $33.9M
    Oct 2, 2025 to Jan 23, 2026
  • Individual RAUM · $75.1M to $92.4M
    Oct 2, 2025 to Jan 23, 2026
  • RAUM · $100M to $126M
    Oct 2, 2025 to Jan 23, 2026
Signals
18 dated events
  • Crystal Latorial Roseman left Peak American Investment Advisors, Inc. for Advice And Planning Services (registered 2026-06-29)
    Mar 4, 2026 · Advisor changed firm · fact
  • Jarrod Brock left Peak American Investment Advisors, Inc. for Mercer Global Advisors Inc. (registered 2026-04-22)
    Feb 12, 2026 · Advisor changed firm · fact
  • Hayden Lee Vanover left Peak American Investment Advisors, Inc. for Mariner (registered 2026-02-12)
    Nov 18, 2025 · Advisor changed firm · fact
  • 5 advisors left Fisher Investments (Plano, TX) for Peak American Investment Advisors, Inc. within 35 days
    Aug 19, 2025 · Team lift-out · derived
  • Braiden Simpson left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-28)
    Jul 22, 2025 · Advisor changed firm · fact
  • Trevor Lee Scott left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-30)
    Jul 18, 2025 · Advisor changed firm · fact
  • Joseph Anthony Nappi left Peak American Investment Advisors, Inc. for Csenge Advisory Group, Llc (registered 2025-10-29)
    Jul 17, 2025 · Advisor changed firm · fact
  • 3 advisors left Peak American Investment Advisors, Inc. (Plano, TX) for Csenge Advisory Group, LLC within 5 days
    Jul 17, 2025 · Team lift-out · derived
  • Shane Allen O'Brien left Peak American Investment Advisors, Inc. for Vanguard Advisers, Inc. (registered 2026-08-25)
    Apr 17, 2025 · Advisor changed firm · fact
  • Jared Ari Levy left Peak American Investment Advisors, Inc. for Avantax Advisory Services (registered 2025-03-20)
    Jan 17, 2025 · Advisor changed firm · fact
  • John Allen Pilkinton left Peak American Investment Advisors, Inc. for Empower Advisory Group, Llc (registered 2025-07-09)
    Nov 13, 2024 · Advisor changed firm · fact
  • Matthew Clement Hepburn left Peak American Investment Advisors, Inc. for Portfolio Medics, Llc (registered 2024-07-19)
    Jul 19, 2024 · Advisor changed firm · fact
  • Stephen Gerald Schwesinger left Peak American Investment Advisors, Inc. for Portfolio Medics, Llc (registered 2023-04-12)
    Aug 7, 2023 · Advisor changed firm · fact
  • Paden Ashlyn Demuth left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-19)
    Nov 18, 2022 · Advisor changed firm · fact
  • Aaron John Hutchinson left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-21)
    Oct 11, 2022 · Advisor changed firm · fact
  • Anthony Julian Lara left Peak American Investment Advisors, Inc. for Dhl Wealth Management Llc (registered 2023-04-21)
    Oct 11, 2022 · Advisor changed firm · fact
  • 2 advisors left Peak American Investment Advisors, Inc. (Plano, TX) for Dhl Wealth Management LLC on the same day
    Oct 11, 2022 · Team lift-out · derived
  • Michael Stern left Peak American Investment Advisors, Inc. for Cetera Investment Advisers Llc (registered 2024-05-17)
    Sep 27, 2022 · Advisor changed firm · 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 phone
972-212-9292reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/peakamericanreportedpublic record, Form ADV, Sep 17, 2026
Website
peakamericanfinancial.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
972-212-9292reportedpublic record, Form ADV, Sep 8, 2026
Team page
peakamericanfinancial.com/teamreportedpublished 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
$16.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026