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 Financial Planning

Independent wealth managerCanoga Park, CaliforniaCRD 317288SEC 801-135890websiteIAPD
Legal name Peak Financial Planning, LLC
Latest filing Aug 3, 2026
First filing on the tape Mar 26, 2026 · 4 filings
SEC status approved since Apr 17, 2026
RAUM
$93.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$93.0M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$13.3M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$93.0M as of Aug 3, 2026
Mar 26, 2026$93.0M then
HNW client RAUM$68.5M as of Aug 3, 2026
Mar 26, 2026$68.5M then
State-registered IARs (5.B.3)7 as of Aug 3, 2026
Mar 26, 20264 then
Employees (5.A)8 as of Aug 3, 2026
Mar 26, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 3, 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
$13.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$310,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.0derived7 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$68.5M74%
  • Individuals$24.5M26%
Individual clients
45reported
HNW clients
37reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
300reported
Financial planning clients
11-25reported
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
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Eric AmzalagCertified Financial PlannerCanoga Park, CaDec 8, 202112 y1
Sean StevensonCertified Financial PlannerMcdonald, Pa Sep 18, 202510 y1
Joseph Richard PerezCertified Financial PlannerCalabasas, Ca Jan 2, 202612 y0
Matthew Charles WarnerAustin, Tx Feb 2, 202621 y1
Cody Michael EmersonCertified Financial PlannerJacksonville, Fl Jun 6, 202613 y5
Adam Michael HaynesAmerican Fork, Ut Jun 8, 202610 y3
Anthony Jose CalderonCertified Financial PlannerPhoenix, Az Jul 30, 202610 y5
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Eric Amzalag · Chief Compliance Officer/Chief Executor Officercontrol
      since 01/2026 · owns less than 5%
    Entity owners
    • Peak Financial Planning Holdco · Owner
      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
    Canoga Park, Ca · principal760
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 4 to 7
      May 4, 2026 to Jul 30, 2026
    • Employees · 7 to 8
      May 4, 2026 to Jul 30, 2026
    • State-registered IARs · 4 to 7
      May 4, 2026 to Jul 30, 2026
    • Other offices · 3 to 6
      May 4, 2026 to Jul 30, 2026
    • Other offices · 2 to 3
      Mar 26, 2026 to May 4, 2026
    Signals
    1 dated events
    • Anthony Jose Calderon added a AZ registration at Peak Financial Planning
      Sep 14, 2026 · New state 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
    Website
    thepeakfp.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (818) 600-6099reportedpublic record, Form ADV, Aug 3, 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
    $13.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026