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••• W••••• M•••••••••
Legal name P••• W••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Jul 23, 2024 · 7 filings
SEC status approved since Aug 22, 2024
RAUM
$39.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$39.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$39.0M as of Jan 27, 2026
Feb 5, 2025$26.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 27, 2026
Feb 5, 20251 then
Employees (5.A)1 as of Jan 27, 2026
Feb 5, 20251 then
Private funds: no history
RAUM +50% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $39.0MderivedRAUM 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
- $306,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, 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
- 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
- Individuals$39.0M100%
- Individual clients
- 50reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 127reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••••• C••Certified Financial Planner, Chartered Financial Consultant | Saratoga Springs, Ny | Aug 22, 2024 | 12 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- J•••• T••••• C•• from C•••••••• W••••• A•••••••• L••Aug 22, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• J••••• T••••• · Founder And Chief Compliance Officercontrolsince 07/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jan 27, 2026 to Sep 10, 2026
- Related adviser · false to unsetJan 27, 2026 to Sep 10, 2026
- Related bank · false to unsetJan 27, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJan 27, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJan 27, 2026 to Sep 10, 2026
- Succession · false to unsetJan 27, 2026 to Sep 10, 2026
- Accounts · 81 to 127Feb 5, 2025 to Jan 27, 2026
- Individual clients · 40 to 50Feb 5, 2025 to Jan 27, 2026
- Discretionary RAUM · $26.0M to $39.0MFeb 5, 2025 to Jan 27, 2026
- Individual RAUM · $26.0M to $39.0MFeb 5, 2025 to Jan 27, 2026
- RAUM · $26.0M to $39.0MFeb 5, 2025 to Jan 27, 2026
- Accounts · 88 to 81Dec 23, 2024 to Feb 5, 2025
- Individual clients · 61 to 40Dec 23, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 26-50Dec 23, 2024 to Feb 5, 2025
- Discretionary RAUM · $25.5M to $26.0MDec 23, 2024 to Feb 5, 2025
- Individual RAUM · $25.5M to $26.0MDec 23, 2024 to Feb 5, 2025
- RAUM · $25.5M to $26.0MDec 23, 2024 to Feb 5, 2025
- Accounts · 0 to 88Jul 23, 2024 to Oct 25, 2024
- Individual clients · unset to 61.0Jul 23, 2024 to Oct 25, 2024
- HQ city · unset to SARATOGA SPRINGSJul 23, 2024 to Oct 25, 2024
- HQ state · unset to NYJul 23, 2024 to Oct 25, 2024
- Legal name · PEAK WEALTH MANAGEMENT to PEAK WEALTH MANAGEMENT LLCJul 23, 2024 to Oct 25, 2024
- Other offices · 0 to 1Jul 23, 2024 to Oct 25, 2024
- Discretionary RAUM · $0 to $25.5MJul 23, 2024 to Oct 25, 2024
- Individual RAUM · unset to 25521026.0Jul 23, 2024 to Oct 25, 2024
- RAUM · $0 to $25.5MJul 23, 2024 to Oct 25, 2024
Signals
1 dated events
- Peak Wealth Management filed its initial SEC registration (Form ADV)Jul 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 phone
- 518-441-2285reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- peakwealthmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-363-7998reportedpublic record, Form ADV, Sep 10, 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
- $39.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026