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••• P••••••• G••••• L••
Latest filing Jul 9, 2026
First filing on the tape Aug 30, 2017 · 27 filings
SEC status approved since Sep 29, 2017
RAUM
$710M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$708M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$88.7M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$710M as of Jul 9, 2026
Jun 17, 2019$109M then
HNW client RAUM$505M as of Jul 9, 2026
Jun 17, 2019$75.7M then
State-registered IARs (5.B.3)5 as of Jul 9, 2026
Jun 17, 20192 then
Employees (5.A)11 as of Jul 9, 2026
Jun 17, 20192 then
Private funds: no history
RAUM +9.1% over the last fiscal year+46% a year over threeIARs 4 to 5offices 3 to 4
Practice profile
derived from the filing of Jul 9, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $88.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $300,463derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $706MreportedItem 5.I
- Custody
- $99.2M, 212 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
- 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$505M71%
- Individuals$203M29%
- Pension and profit-sharing plans$1.5M0.2%
- Charitable organizations$378,4020.1%
- Individual clients
- 664reported
- HNW clients
- 174reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,363reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $99.2M for 212 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• W•••••Certified Financial Planner | Centennial, Co | Dec 12, 2017 | 16 y | 2 |
| L•••• P•••• P•••••••Certified Financial Planner, Chartered Financial Consultant | Centennial, Co | May 23, 2018 | 36 y | 2 |
| D•••• L•• H••• | Hilo, Hi | Jan 3, 2023 | 28 y | 1 |
| J•••••• M•••• S••••Certified Financial Planner | Raleigh, Nc | May 23, 2024 | 11 y | 2 |
| S•••••• L•••••• R••••••• | Raleigh, Nc | May 30, 2024 | 26 y | 2 |
| A•••••• D• G••••Certified Financial Planner | Centennial, Co | Mar 10, 2026 | 13 y | 0 |
| A••• R••• O•••• | Raleigh, Nc | Mar 10, 2026 | 11 y | 3 |
| D•••• D•••• W••••• | Fishtail, Mt | Apr 13, 2026 | 15 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••• R••• O•••• from C••••••••• F•••••••• N••••••Mar 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••••• L•••••• R••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••••• M•••• S•••• from R••••• W• B•••• • C•• I•••••••••May 23, 2024 · RIA to RIA
- D•••• L•• H••• from A••••••••• F•••••••• S•••••••• L••Jan 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- L•••• P•••• P••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 23, 2018 · Other
- S•••••• W••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 12, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 5, 2017 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• L••••• P•••• · Managing Member, Chief Compliance Officercontrolsince 02/2002 · owns 75% or more
- W•••••• S•••••• · Partnercontrolsince 12/2020 · 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 |
|---|---|---|---|---|---|
| Centennial, Co · principal | 6 | 3 | 0 | ||
| Raleigh, Nc | 3 | 1 | 0 | ||
| Asheville, Nc | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Asheville, NC1 employees
- Hilo, HI1 employees
What changed
consecutive filings, newest first
- Other offices · 3 to 4Mar 16, 2026 to May 26, 2026
- Accounts · 2,086 to 2,363Apr 7, 2025 to Mar 16, 2026
- Advisory employees · 5 to 7Apr 7, 2025 to Mar 16, 2026
- HNW clients · 208 to 174Apr 7, 2025 to Mar 16, 2026
- Individual clients · 509 to 664Apr 7, 2025 to Mar 16, 2026
- Commission compensation · true to falseApr 7, 2025 to Mar 16, 2026
- Assets in custody · unset to 99221934.0Apr 7, 2025 to Mar 16, 2026
- Custody of client assets · false to trueApr 7, 2025 to Mar 16, 2026
- Employees · 10 to 11Apr 7, 2025 to Mar 16, 2026
- Financial planning clients · 251-500 to 101-250Apr 7, 2025 to Mar 16, 2026
- State-registered IARs · 4 to 5Apr 7, 2025 to Mar 16, 2026
- Discretionary RAUM · $648M to $707MApr 7, 2025 to Mar 16, 2026
- HNW RAUM · $524M to $505MApr 7, 2025 to Mar 16, 2026
- Individual RAUM · $126M to $203MApr 7, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $3.0M to $3.3MApr 7, 2025 to Mar 16, 2026
- Pension RAUM · unset to 1505425.0Apr 7, 2025 to Mar 16, 2026
- RAUM · $651M to $710MApr 7, 2025 to Mar 16, 2026
- Accounts · 1,107 to 2,086Feb 21, 2024 to Apr 7, 2025
- Advisory employees · 3 to 5Feb 21, 2024 to Apr 7, 2025
- Charity clients · 2.0 to unsetFeb 21, 2024 to Apr 7, 2025
- HNW clients · 97 to 208Feb 21, 2024 to Apr 7, 2025
- Individual clients · 353 to 509Feb 21, 2024 to Apr 7, 2025
- Employees · 6 to 10Feb 21, 2024 to Apr 7, 2025
- Financial planning clients · 51-100 to 251-500Feb 21, 2024 to Apr 7, 2025
- State-registered IARs · 3 to 4Feb 21, 2024 to Apr 7, 2025
- Other offices · 2 to 3Feb 21, 2024 to Apr 7, 2025
- Discretionary RAUM · $271M to $648MFeb 21, 2024 to Apr 7, 2025
- HNW RAUM · $108M to $524MFeb 21, 2024 to Apr 7, 2025
- Individual RAUM · $162M to $126MFeb 21, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $1.3M to $3.0MFeb 21, 2024 to Apr 7, 2025
- RAUM · $272M to $651MFeb 21, 2024 to Apr 7, 2025
- Accounts · 776 to 1,107Mar 24, 2023 to Feb 21, 2024
- Advisory employees · 2 to 3Mar 24, 2023 to Feb 21, 2024
- BD registered reps · 1 to 0Mar 24, 2023 to Feb 21, 2024
- Charity clients · unset to 2.0Mar 24, 2023 to Feb 21, 2024
- HNW clients · 100 to 97Mar 24, 2023 to Feb 21, 2024
- Individual clients · 326 to 353Mar 24, 2023 to Feb 21, 2024
- Employees · 3 to 6Mar 24, 2023 to Feb 21, 2024
- HQ city · DENVER to CENTENNIALMar 24, 2023 to Feb 21, 2024
- State-registered IARs · 2 to 3Mar 24, 2023 to Feb 21, 2024
Signals
3 dated events
- P••• P••••••• G••••• L•• reported RAUM $650.9M, up 139% from $272.2M (2024-02-21 to 2025-04-07)Apr 7, 2025 · RAUM change · derived
- S•••••• W••••• (Partner) appeared on Schedule A of P••• P••••••• G••••• L••May 27, 2021 · Control person joined · fact
- P••• P••••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 30, 2017 · 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
- allie@peakplan.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- carrie@peakplan.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pj@peakplan.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-991-0056reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-991-0058reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 808-935-3388reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/peak-planning-group-llc/?viewAsMember=treportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-991-0056reportedpublic record, Form ADV, Jul 9, 2026
- Team page
- peakplan.com/team-2reportedpublished 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
- $88.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026