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 Retirement Planning, Inc.

Independent wealth managerColumbus, OhioCRD 317592SEC 801-130337websiteIAPD
Latest filing Sep 1, 2026
First filing on the tape Apr 23, 2024 · 10 filings
SEC status approved since May 21, 2024
RAUM
$631M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$631M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$45.1M
derived; firm RAUM over IAPD count
Employees
22
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$631M as of Jul 8, 2026
Apr 3, 2025$242M then
HNW client RAUM$477M as of Jul 8, 2026
Apr 3, 2025$165M then
State-registered IARs (5.B.3)16 as of Jul 8, 2026
Apr 3, 202514 then
Employees (5.A)22 as of Jul 8, 2026
Apr 3, 202527 then
Private funds: no history
RAUM +160% over the last fiscal yearIARs 14 to 16offices 2 to 1
Practice profile
derived from the filing of Sep 1, 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
  • 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
$45.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$171,707derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+160%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+88%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$477M76%
  • Individuals$154M24%
Individual clients
565reported
HNW clients
345reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,675reported
Financial planning clients
0reported
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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joseph Francis Schmitz, Jr.Certified Financial Planner, Chartered Financial ConsultantColumbus, OhNov 24, 202119 y2
Dominic Sean GarrisColumbus, OhJul 30, 202212 y0
Joshua Alan RichardsonColumbus, OhJan 10, 202310 y0
Cole Stahly SchrockColumbus, OhSep 14, 202315 y1
Samuel Aaron NordquistColumbus, OhSep 15, 202312 y0
Cameron Joseph KaskaColumbus, OhJan 7, 202517 y0
Alec Jordan SchrockColumbus, OhMar 12, 202511 y0
Tyler Edward NicholsColumbus, OhApr 30, 202510 y0
Calisto Michael ReghiColumbus, OhMay 12, 202511 y0
Sarah SchwietermanCertified Financial PlannerColumbus, OhMay 15, 202511 y2
Emma Grace HostetlerColumbus, OhJul 15, 202511 y0
Corey Sullivan JordisonColumbus, OhNov 26, 202511 y0
Dylon WoolwineColumbus, OhMay 5, 202610 y1
Owen BosworthColumbus, OhMay 15, 202610 y0
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 29% of current headcount7 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Francis Joseph Jr. Schmitz · Ceo / Ccocontrol
    since 01/2022 · 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
Columbus, Oh · principal1434
Offices
Schedule D 1.F, the 25 largest
  • , 2 employees
  • Columbus, OH1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
  • account count surgeChange between filings · filing Mar 24, 2026
    accounts (Item 5.F.2.f) moved from 1,850.0 to 3,675.0 (+99.0%) between the annual amendments of 2025-04-03 and 2026-03-24; the peer median change was +6.0% (1256 comparable advisers, 97.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (1,256) · 97% percentile
  • client count surgeChange between filings · filing Mar 24, 2026
    individual and HNW clients (Item 5.D) moved from 485.0 to 910.0 (+88.0%) between the annual amendments of 2025-04-03 and 2026-03-24; the peer median change was +5.0% (1216 comparable advisers, 99.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (1,216) · 99% percentile
  • RAUM up 50 %Change between filings · filing Mar 24, 2026
    RAUM (Item 5.F) moved from $242,470,000 to $631,022,251 (+160.0%) between the annual amendments of 2025-04-03 and 2026-03-24; the peer median change was +16.0% (1386 comparable advisers, 99.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (1,386) · 99% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Financial planning clients · 0 to 0
    Jul 8, 2026 to Sep 1, 2026
  • Related adviser · false to unset
    Jul 8, 2026 to Sep 1, 2026
  • Related bank · false to unset
    Jul 8, 2026 to Sep 1, 2026
  • Related broker-dealer · false to unset
    Jul 8, 2026 to Sep 1, 2026
  • Related insurance company · false to unset
    Jul 8, 2026 to Sep 1, 2026
  • Succession · false to unset
    Jul 8, 2026 to Sep 1, 2026
  • Accounts · 2,940 to 3,675
    Aug 26, 2025 to Mar 24, 2026
  • HNW clients · 242 to 345
    Aug 26, 2025 to Mar 24, 2026
  • Individual clients · 471 to 565
    Aug 26, 2025 to Mar 24, 2026
  • Assets in custody · 242470000.0 to unset
    Aug 26, 2025 to Mar 24, 2026
  • Custody of client assets · true to false
    Aug 26, 2025 to Mar 24, 2026
  • Employees · 21 to 22
    Aug 26, 2025 to Mar 24, 2026
  • Other offices · 2 to 1
    Aug 26, 2025 to Mar 24, 2026
  • Discretionary RAUM · $416M to $631M
    Aug 26, 2025 to Mar 24, 2026
  • HNW RAUM · $290M to $477M
    Aug 26, 2025 to Mar 24, 2026
  • Individual RAUM · $126M to $154M
    Aug 26, 2025 to Mar 24, 2026
  • RAUM · $416M to $631M
    Aug 26, 2025 to Mar 24, 2026
  • Accounts · 1,850 to 2,940
    Jul 11, 2025 to Aug 26, 2025
  • Advisory employees · 13 to 16
    Jul 11, 2025 to Aug 26, 2025
  • HNW clients · 140 to 242
    Jul 11, 2025 to Aug 26, 2025
  • Individual clients · 345 to 471
    Jul 11, 2025 to Aug 26, 2025
  • Employees · 28 to 21
    Jul 11, 2025 to Aug 26, 2025
  • Financial planning clients · 0 to 0
    Jul 11, 2025 to Aug 26, 2025
  • State-registered IARs · 15 to 16
    Jul 11, 2025 to Aug 26, 2025
  • Discretionary RAUM · $242M to $416M
    Jul 11, 2025 to Aug 26, 2025
  • HNW RAUM · $165M to $290M
    Jul 11, 2025 to Aug 26, 2025
  • Individual RAUM · $77.9M to $126M
    Jul 11, 2025 to Aug 26, 2025
  • RAUM · $242M to $416M
    Jul 11, 2025 to Aug 26, 2025
  • Advisory employees · 14 to 13
    Apr 3, 2025 to Jul 11, 2025
  • Assets in custody · unset to 242470000.0
    Apr 3, 2025 to Jul 11, 2025
  • Custody of client assets · false to true
    Apr 3, 2025 to Jul 11, 2025
  • Employees · 27 to 28
    Apr 3, 2025 to Jul 11, 2025
  • State-registered IARs · 14 to 15
    Apr 3, 2025 to Jul 11, 2025
  • Accounts · 895 to 1,850
    Sep 4, 2024 to Apr 3, 2025
  • Advisory employees · 6 to 14
    Sep 4, 2024 to Apr 3, 2025
  • Advisory activities · 2 to 3
    Sep 4, 2024 to Apr 3, 2025
  • HNW clients · unset to 140.0
    Sep 4, 2024 to Apr 3, 2025
  • Individual clients · 307 to 345
    Sep 4, 2024 to Apr 3, 2025
  • Employees · 14 to 27
    Sep 4, 2024 to Apr 3, 2025
  • State-registered IARs · 6 to 14
    Sep 4, 2024 to Apr 3, 2025
Signals
10 dated events
  • Lance Scott Schlosser left Peak Retirement Planning, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-08-20)
    Aug 7, 2026 · Advisor changed firm · fact
  • Cole Curtis Filer left Peak Retirement Planning, Inc. for Facet (registered 2026-07-09)
    Jun 1, 2026 · Advisor changed firm · fact
  • David Dreier left Peak Retirement Planning, Inc. for Valmark Advisers, Inc. (registered 2026-05-27)
    Apr 2, 2026 · Advisor changed firm · fact
  • Peak Retirement Planning, Inc. reported RAUM $631.0M, up 52% from $416.4M (2025-08-26 to 2026-03-24)
    Mar 24, 2026 · RAUM change · derived
  • Andrew Ross Blumenstock left Peak Retirement Planning, Inc. for Root Financial Partners (registered 2026-02-09)
    Jan 8, 2026 · Advisor changed firm · fact
  • Peak Retirement Planning, Inc. reported RAUM $416.4M, up 72% from $242.5M (2025-07-11 to 2025-08-26)
    Aug 26, 2025 · RAUM change · derived
  • Andrew Houston Barton left Peak Retirement Planning, Inc. for Boldin Advisors (registered 2025-04-29)
    Jun 16, 2025 · Advisor changed firm · fact
  • Brett Patrick Stahl left Peak Retirement Planning, Inc. for Ae Wealth Management, Llc (registered 2025-03-19)
    Jan 6, 2025 · Advisor changed firm · fact
  • Amanda Christine Paliska left Peak Retirement Planning, Inc. for Lpl Financial Llc (registered 2025-05-19)
    Oct 7, 2024 · Advisor changed firm · fact
  • Peak Retirement Planning, Inc. filed its initial SEC registration (Form ADV)
    Apr 23, 2024 · 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
info@peakretirementplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
614-500-4121reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/82548217/adminreportedpublic record, Form ADV, Sep 17, 2026
Website
peakretirementplanning.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(614) 500-4121reportedpublic record, Form ADV, Sep 1, 2026
Team page
peakretirementplanning.com/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
$45.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026