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.
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SEC-registered adviser
P••• R••• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 21, 2012 · 38 filings
SEC status approved since Sep 30, 2012
RAUM
$7.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
55 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
29
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$7.3B as of Mar 31, 2026
Mar 28, 2013$378M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)55 as of Mar 31, 2026
Mar 28, 201310 then
Private funds29 as of Mar 31, 2026
Mar 28, 20133 then
RAUM +60% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $251MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$7.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• R••• C•••••• F••• I•• L• | Private Equity Fund | $2.1B | 113 | Mar 31, 2021 |
| P••• R••• C•••••• F••• I• L• | Private Equity Fund | $992M | 78 | Mar 31, 2017 |
| P••• R••• C•••••• F••• I•••• L• | Private Equity Fund | $412M | 39 | Mar 31, 2021 |
| P••• R••• C•••••• F••• L• | Private Equity Fund | $355M | 41 | Aug 21, 2012 |
| P••• R••• C•••••• F••• I••• L• | Private Equity Fund | $147M | 32 | Mar 31, 2017 |
| P••• R••• C•••••• C••••• F••• I• L• | Private Equity Fund | $101M | 61 | Mar 31, 2017 |
| P••• R••• R••• E••••• F••• I• L• | Private Equity Fund | $79.7M | 21 | Mar 31, 2021 |
| P••• R••• C•••••• F••• A• L• | Private Equity Fund | $65.2M | 13 | Aug 21, 2012 |
| P••• R••• C•••••• C••••• F••• I•• L• | Private Equity Fund | $63.0M | 25 | Mar 29, 2024 |
| P••• R••• C•••••• C••••• F••• I•••• N•• L• | Private Equity Fund | $48.7M | 3 | Mar 29, 2024 |
| P••• R••• C•••••• C••••• F••• I•• N•• L• | Private Equity Fund | $47.1M | 4 | Mar 29, 2024 |
| P••• R••• C•••••• C••••• F••• I•••• L• | Private Equity Fund | $38.0M | 5 | Mar 29, 2024 |
| P••• R••• C•••••• E•••••••• F••• I•• L• | Private Equity Fund | $23.4M | 40 | Mar 31, 2021 |
| P••• R••• C•••••• E•••••••• F••• I• L• | Private Equity Fund | $23.1M | 48 | Mar 30, 2018 |
| P••• R••• C•••••• C••••• F••• I• N•• L• | Private Equity Fund | $18.1M | 11 | Mar 31, 2021 |
| P••• R••• C•••••• C••••• F••• I••• L• | Private Equity Fund | $16.0M | 30 | Mar 31, 2017 |
| P••• R••• C•••••• C••••• F••• I••• N•• L• | Private Equity Fund | $10.2M | 10 | Mar 31, 2021 |
| P••• R••• C•••••• E•••••••• F••• L• | Private Equity Fund | $6.4M | 28 | Jan 25, 2013 |
| P••• R••• E•••••••• R••• E••••• F••• I• L• | Private Equity Fund | $2.9M | 25 | Mar 31, 2021 |
| P••• R••• C•••••• E•••••••• C••••• F••• I• L• | Private Equity Fund | $2.6M | 48 | Mar 30, 2018 |
| P••• R••• C•••••• C••••• F••• I•••• L• | Private Equity Fund | $1.3M | 2 | Mar 29, 2024 |
| P••• R••• C•••••• E•••••••• C••••• F••• I•• L• | Private Equity Fund | $1.0M | 11 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A••••••• K••• · Member, And Chief E•••••••• Officercontrolsince 07/2012 · owns less than 5%
- M•••••••• S•••••• E••••• · Managing Directorcontrolsince 07/2012 · owns less than 5%
- D•••••••• A••••••• K••• · Membercontrolsince 06/2012 · owns 25% to 50% of L••• T••••• C•••••• L••
- D•••••••• S••••• W••••• · Membercontrolsince 06/2012 · owns 25% to 50% of L••• T••••• C•••••• L••
- M•••••••• S•••••• E••••• · Trusteecontrolsince 08/2007 · owns F of T•• M••••••• F••••• L••••• T••••
- M•••••••• W••••• B••• · Trusteecontrolsince 08/2007 · owns F of T•• M••••••• F••••• L••••• T••••
- C•••• J•••• W•• · Chief Financial Officer And Chief Compliance Officersince 10/2012 · owns less than 5%
- L••••••• P••••• J••• · Member And Managing Directorsince 07/2012 · owns 5% to 10%
Entity owners
- L••• T••••• C•••••• L•• · Memberdirect · owns 50% to 75%
- T•• M••••••• F••••• L••••• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- P••• R••• C•••••• C••••• D•••••••• L•investment advisern
- P••• R••• C•••••• C••••• H••••••• I• L•pooled vehicle sponsorn
- P••• R••• C•••••• C••••• H••••••• I•• L•pooled vehicle sponsorn
- P••• R••• C•••••• C••••• L••investment advisern
- P••• R••• C•••••• D•••••••• L•investment advisern
- P••• R••• C•••••• E••••• L••investment advisery
- P••• R••• C•••••• E•••••••• C••••• H••••••• I• L••pooled vehicle sponsorn
- P••• R••• C•••••• E•••••••• C••••• H••••••• I•• L••pooled vehicle sponsorn
- P••• R••• C•••••• E•••••••• H••••••• I• L••pooled vehicle sponsorn
- P••• R••• C•••••• E•••••••• H••••••• I• L••pooled vehicle sponsorn
- P••• R••• C•••••• E•••••••• H••••••• I•• L••pooled vehicle sponsorn
- P••• R••• C•••••• H••••••• I• L•pooled vehicle sponsorn
- P••• R••• C•••••• H••••••• I• L•pooled vehicle sponsorn
- P••• R••• C•••••• H••••••• I•• L•pooled vehicle sponsorn
- P••• R••• C•••••• R••• E••••• D•••••••• L•investment advisern
- P••• R••• E•••••••• R••• E••••• H••••••• I• L••pooled vehicle sponsorn
- P••• R••• R••• E••••• H••••••• I• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom4 employees
What changed
consecutive filings, newest first
- Accounts · 22 to 29Aug 21, 2025 to Mar 31, 2026
- Advisory employees · 59 to 55Aug 21, 2025 to Mar 31, 2026
- Pooled vehicle clients · 22 to 29Aug 21, 2025 to Mar 31, 2026
- Employees · 59 to 55Aug 21, 2025 to Mar 31, 2026
- Private funds · 22 to 29Aug 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.6B to $7.3BAug 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.6B to $7.3BAug 21, 2025 to Mar 31, 2026
- RAUM · $4.6B to $7.3BAug 21, 2025 to Mar 31, 2026
- Employees · 54 to 59Apr 30, 2024 to Mar 31, 2025
- Advisory employees · 54 to 59Apr 30, 2024 to Mar 31, 2025
- Assets in custody · $4.5B to $0Apr 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.5B to $4.6BApr 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.5B to $4.6BApr 30, 2024 to Mar 31, 2025
- RAUM · $4.5B to $4.6BApr 30, 2024 to Mar 31, 2025
- Accounts · 16 to 22Apr 26, 2023 to Mar 29, 2024
- Advisory employees · 52 to 54Apr 26, 2023 to Mar 29, 2024
- Pooled vehicle clients · 16 to 22Apr 26, 2023 to Mar 29, 2024
- Assets in custody · $3.9B to $4.5BApr 26, 2023 to Mar 29, 2024
- Employees · 52 to 54Apr 26, 2023 to Mar 29, 2024
- Other offices · 2 to 1Apr 26, 2023 to Mar 29, 2024
- Private funds · 16 to 22Apr 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.9B to $4.5BApr 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.9B to $4.5BApr 26, 2023 to Mar 29, 2024
- RAUM · $3.9B to $4.5BApr 26, 2023 to Mar 29, 2024
- Advisory employees · 51 to 52May 31, 2022 to Mar 31, 2023
- Assets in custody · $3.6B to $3.9BMay 31, 2022 to Mar 31, 2023
- Employees · 51 to 52May 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.6B to $3.9BMay 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.6B to $3.9BMay 31, 2022 to Mar 31, 2023
- RAUM · $3.6B to $3.9BMay 31, 2022 to Mar 31, 2023
- Advisory employees · 48 to 51May 28, 2021 to Mar 31, 2022
- Assets in custody · $3.0B to $3.6BMay 28, 2021 to Mar 31, 2022
- Employees · 48 to 51May 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.0B to $3.6BMay 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $3.0B to $3.6BMay 28, 2021 to Mar 31, 2022
- RAUM · $3.0B to $3.6BMay 28, 2021 to Mar 31, 2022
- Accounts · 9 to 16Apr 30, 2020 to Mar 31, 2021
- Advisory employees · 45 to 48Apr 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 9 to 16Apr 30, 2020 to Mar 31, 2021
Signals
4 dated events
- P••• R••• C•••••• L•• reported RAUM $7.3B, up 60% from $4.6B (2025-08-21 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P••• R••• C•••••• L•• reported RAUM $3.0B, up 67% from $1.8B (2020-04-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- P••• R••• C•••••• L•• reported RAUM $2.2B, up 96% from $1.1B (2017-04-20 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- P••• R••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••• R••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• R••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/peak-rock-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••R•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-765-6520reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026