Peak Investment Advisors, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$234,624,302
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
39
64% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
39
Average account size
$6,016,008
About
The firm provides investment advisory, financial planning, financial consulting and tax planning services primarily to individuals, families and businesses, and also may serve pension funds, banks, trusts, endowments and estates. With approximately $234.6 million in assets under management across 39 client relationships, the firm’s client base is concentrated among individual and high-net-worth clients.
Investment portfolios are generally managed on a discretionary basis and emphasize diversification through mutual funds and ETFs with limited positions in individual securities, using both internal and external research sources to inform decisions. The firm states it acts as a fiduciary for retirement account rollovers and discloses an economic incentive to recommend rollovers to IRAs it manages; it also provides consulting services at no additional charge to existing asset-management clients.
The brochure discloses a regulatory history stemming from a 2019 state examination that resulted in a deficiency letter and a consent order, which the firm reports it addressed and which expired in 2021. An owner is a licensed certified public accountant who may provide tax preparation and related accounting services to clients for customary compensation; the firm discloses this affiliation and the potential conflict of interest and describes mitigations.
Client services
Financial planning
Portfolio management
Consulting services
Expertise
General retirement planning
Income planning
General tax planning
Fee options
Typically 1.0% annually, but may be more or less depending on service level, account size and investments; fees are negotiable
$300 per hour for financial consulting (or as negotiated)
Account minimum: $500,000
Main office location
Peak Investment Advisors, Inc.
5825 Delmonico Drive, Suite 310
Colorado Springs CO 80919, United States
Number of offices
2
Most active in
Peak Investment Advisors, Inc. has reported serving >5 clients in these states in the last 12 months.
Colorado · Florida
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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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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.
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