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
Pinnacle Peak Private Client Group, LLC
Latest filing Feb 27, 2026
First filing on the tape Dec 28, 2015 · 40 filings
SEC status approved since Aug 22, 2017
RAUM
$481M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$447M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$481M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$481M as of Feb 27, 2026
Jan 24, 2018$112M then
HNW client RAUM$294M as of Feb 27, 2026
Jan 24, 2018$29.6M then
State-registered IARs (5.B.3)5 as of Feb 27, 2026
Jan 24, 20184 then
Employees (5.A)6 as of Feb 27, 2026
Jan 24, 20185 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $481MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 689derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $356,880derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $481MreportedItem 5.I
- Custody
- $232M, 559 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M61%
- Individuals$152M32%
- Corporations and businesses$24.2M5.0%
- Pension and profit-sharing plans$8.1M1.7%
- Charitable organizations$2.0M0.4%
- Individual clients
- 570reported
- HNW clients
- 119reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 1,348reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $481M managedreported
- Custody of client assets
- $232M for 559 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 500% of current headcount5 left over 36 months
Left, latest
- Brian Patrick Jack to Bcg Securities, Inc.Apr 8, 2026 · Other
- Tyler Edward Soria to Ashton Thomas Private WealthMar 11, 2026 · RIA to RIA
- Matthew Joseph Figueroa to Bcg Securities, Inc.Mar 11, 2026 · Other
- Charles Ronald Burns to Ashton Thomas Private WealthMar 11, 2026 · RIA to RIA
- Tanner Ryan Welch to Moors & Cabot, IncOct 28, 2025 · RIA to affiliated broker-dealer or bank
- Jason Robert Brown to Bcg Securities, Inc.Apr 26, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- Tanner Ryan Welch from Bcg Securities, Inc.Jul 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- Jason Robert Brown from Robert W. Baird & Co. IncorporatedFeb 8, 2019 · RIA to RIA
- Charles Ronald Burns from Bcg Securities, Inc.Sep 5, 2017 · Other
- Matthew Joseph Figueroa from Ameriprise Financial Services, LLCApr 18, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- Brian Patrick Jack from Ameriprise Financial Services, LLCFeb 5, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- Teresa Flores from Ameriprise Financial Services, LLCFeb 3, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Ameriprise Financial Services, LLCFeb 8, 2016 · Scottsdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Matthew Figueroa · Managing Directorcontrolsince 03/2017 · owns 25% to 50%
- Patrick Brian Jack · Partner, Managing Director And Chief Compliance Officercontrolsince 01/2016 · owns 25% to 50%
- Teresa Flores · Operations Managersince 01/2016 · owns less than 5%
Related persons
Schedule D 7.A
- Insight Benefit Counselors, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 1 | 0 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Roswell, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,301 to 1,348Nov 25, 2025 to Feb 27, 2026
- BD registered reps · 4 to 0Nov 25, 2025 to Feb 27, 2026
- Charity clients · 2 to 1Nov 25, 2025 to Feb 27, 2026
- Corporate clients · 10 to 12Nov 25, 2025 to Feb 27, 2026
- HNW clients · 112 to 119Nov 25, 2025 to Feb 27, 2026
- Individual clients · 480 to 570Nov 25, 2025 to Feb 27, 2026
- Pension plan clients · 8 to 6Nov 25, 2025 to Feb 27, 2026
- Assets in custody · $254M to $232MNov 25, 2025 to Feb 27, 2026
- Discretionary RAUM · $395M to $479MNov 25, 2025 to Feb 27, 2026
- HNW RAUM · $227M to $294MNov 25, 2025 to Feb 27, 2026
- Individual RAUM · $140M to $152MNov 25, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $2.6M to $2.3MNov 25, 2025 to Feb 27, 2026
- Pension RAUM · $8.3M to $8.1MNov 25, 2025 to Feb 27, 2026
- RAUM · $397M to $481MNov 25, 2025 to Feb 27, 2026
- Wrap assets (manager) · $397M to $481MNov 25, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 0Aug 28, 2025 to Nov 25, 2025
- Accounts · 1,140 to 1,301Jul 8, 2024 to Mar 4, 2025
- Charity clients · 1 to 2Jul 8, 2024 to Mar 4, 2025
- HNW clients · 111 to 112Jul 8, 2024 to Mar 4, 2025
- Individual clients · 381 to 480Jul 8, 2024 to Mar 4, 2025
- Pension plan clients · 7 to 8Jul 8, 2024 to Mar 4, 2025
- Assets in custody · $215M to $254MJul 8, 2024 to Mar 4, 2025
- Discretionary RAUM · $336M to $395MJul 8, 2024 to Mar 4, 2025
- HNW RAUM · $208M to $227MJul 8, 2024 to Mar 4, 2025
- Individual RAUM · $105M to $140MJul 8, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $2.6M to $2.6MJul 8, 2024 to Mar 4, 2025
- Pension RAUM · $6.4M to $8.3MJul 8, 2024 to Mar 4, 2025
- RAUM · $338M to $397MJul 8, 2024 to Mar 4, 2025
- Wrap assets (manager) · $338M to $397MJul 8, 2024 to Mar 4, 2025
- Accounts · 1,077 to 1,140Feb 14, 2023 to Feb 28, 2024
- Charity clients · unset to 1.0Feb 14, 2023 to Feb 28, 2024
- Corporate clients · unset to 10.0Feb 14, 2023 to Feb 28, 2024
- HNW clients · 76 to 111Feb 14, 2023 to Feb 28, 2024
- Individual clients · 425 to 381Feb 14, 2023 to Feb 28, 2024
- Pension plan clients · 13 to 7Feb 14, 2023 to Feb 28, 2024
- Assets in custody · $229M to $215MFeb 14, 2023 to Feb 28, 2024
- Discretionary RAUM · $257M to $336MFeb 14, 2023 to Feb 28, 2024
- HNW RAUM · $147M to $208MFeb 14, 2023 to Feb 28, 2024
- Individual RAUM · $104M to $105MFeb 14, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $4.5M to $2.6MFeb 14, 2023 to Feb 28, 2024
Signals
6 dated events
- Brian Patrick Jack left Pinnacle Peak Private Client Group, Llc for Bcg Securities, Inc. (registered 2017-01-24)Apr 8, 2026 · Advisor changed firm · fact
- Tyler Edward Soria left Pinnacle Peak Private Client Group, Llc for Ashton Thomas Private Wealth (registered 2026-03-04)Mar 11, 2026 · Advisor changed firm · fact
- Matthew Joseph Figueroa left Pinnacle Peak Private Client Group, Llc for Bcg Securities, Inc. (registered 2017-01-19)Mar 11, 2026 · Advisor changed firm · fact
- Charles Ronald Burns left Pinnacle Peak Private Client Group, Llc for Ashton Thomas Private Wealth (registered 2026-03-08)Mar 11, 2026 · Advisor changed firm · fact
- Tanner Ryan Welch left Pinnacle Peak Private Client Group, Llc for Moors & Cabot, Inc (registered 2025-12-18)Oct 28, 2025 · Advisor changed firm · fact
- Jack & Associates, Llc filed its initial SEC registration (Form ADV)Dec 28, 2015 · First SEC registration · 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
- brian@pinpeakpcg.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- matt@pinpeakpcg.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ron@pinpeakpcg.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-771-4301reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-771-4302reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-771-4303reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- PINPEAKPCG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-771-4301reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- pinpeakpcg.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pinpeakpcg.com/about/our-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
- $481Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026