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••• A••••••• P•••••••• L•
Latest filing Sep 18, 2026
First filing on the tape Dec 15, 2025 · 3 filings
SEC status approved since Jan 2, 2026
RAUM
$68.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$68.1M as of May 1, 2026
Dec 15, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Dec 15, 20250 then
Employees (5.A)4 as of May 1, 2026
Dec 15, 20254 then
Private funds: 1
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $34.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$63.9M94%
- Pooled investment vehicles$4.3M6.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• R••••••• A••• · Managing Partner, Co-Cio, Ccocontrolsince 01/2025 · owns 25% to 50%
- D••••• J•••••• W••••• · Managing Partner, Co-Ciocontrolsince 01/2025 · owns 25% to 50%
- T••••••• A•••••• · Managing Partner, Head Of Capital Marketscontrolsince 01/2025 · owns 25% to 50%
Entity owners
- P••• A••••••• P••••••• G•• L•• · General Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (139 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, under $100M (139) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5May 1, 2026 to Sep 18, 2026
- Employees · 4 to 5May 1, 2026 to Sep 18, 2026
- Financial planning clients · 0 to 0May 1, 2026 to Sep 18, 2026
- Other offices · 3 to 5May 1, 2026 to Sep 18, 2026
- Private funds · 1 to unsetMay 1, 2026 to Sep 18, 2026
- Succession · false to unsetMay 1, 2026 to Sep 18, 2026
- Accounts · 0 to 2Dec 15, 2025 to May 1, 2026
- Pooled vehicle clients · unset to 1.0Dec 15, 2025 to May 1, 2026
- Assets in custody · unset to 0.0Dec 15, 2025 to May 1, 2026
- Custody of client assets · false to trueDec 15, 2025 to May 1, 2026
- Private funds · unset to 1Dec 15, 2025 to May 1, 2026
- Non-discretionary RAUM · $0 to $68.1MDec 15, 2025 to May 1, 2026
- Pooled vehicle RAUM · unset to 4250000.0Dec 15, 2025 to May 1, 2026
- RAUM · $0 to $68.1MDec 15, 2025 to May 1, 2026
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/peakaltsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-970-6451reportedpublic record, Form ADV, Sep 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026