Financial Peak
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$15,300,000
Total clients
47
11% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
47
Average account size
$325,532
About
Financial Peak provides investment management and financial planning to individuals, high‑net‑worth individuals, charitable organizations, and businesses, delivering tailored portfolios and written financial plans that address retirement, estate, tax, cash‑flow, and business‑planning needs. The firm reports managing roughly $13.5 million for a small client base and offers both limited‑scope project engagements and ongoing comprehensive planning.
The firm’s investment approach emphasizes modern portfolio theory and primarily passive management, constructing portfolios from index mutual funds, ETFs, or equities to target asset‑allocation and risk‑return objectives; it also uses model portfolios available through Charles Schwab’s platform and may engage third‑party strategists for some client accounts. Financial planning is integrated with portfolio management and is offered under a variety of arrangements (fixed‑fee, hourly, and ongoing monthly engagements) with periodic reviews tied to client goals.
Noteworthy distinctions include the principal’s separate activity as a licensed insurance agent, disclosed as occupying a small portion of time, which the firm identifies as a potential conflict when insurance products are recommended. The firm also offers educational seminars and speaking engagements for groups (sometimes pro bono) and explicitly discloses its use of Schwab’s model platform and related third‑party model arrangements and the attendant conflicts of interest.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
General retirement planning
Cash flow / budgeting
Business ownership considerations
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Fee options
Limited Scope Financial Planning fixed fee ranges between $1,000 and $25,000
$0 - $500,000: 1.50% $500,001 - $1,000,000: 1.45% $1,000,001+: 1.25%
$150 - $350 per hour, depending on complexity
Main office location
Financial Peak
Agoura Hills CA, United States
Number of offices
1
Most active in
Financial Peak has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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