Peak Investment Solutions, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$71,505,572
This total excludes 6 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
78
17% high-net worth
Advisors
1
of 4 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
78
HighAverage account size
$916,738
About
Peak Investment Solutions provides investment management, financial planning, and employee benefit plan advisory services to individuals (including high‑net‑worth clients), trusts, qualified retirement plans, charitable organizations and businesses. The firm manages approximately $77.4 million on a discretionary basis across about 78 client relationships and works with clients to develop written investment policy statements and transition plans.
Peak’s investment approach is grounded in Modern Portfolio Theory and emphasizes long‑term, asset‑allocation strategies implemented primarily through passively managed, asset‑class mutual funds and ETFs (including funds from Dimensional Fund Advisors, Vanguard, and Bridgeway). The firm uses portfolio modeling and Monte Carlo analysis to inform asset allocations, provides discretionary portfolio management with client‑imposed restrictions allowed, and outsources fixed‑income portfolio management to a third‑party manager when appropriate.
A noteworthy operational feature is the firm’s affiliation with an accounting practice owned by the principal; the two entities may refer clients to one another and the principal discloses devoting up to 25% of time to the accounting practice, a potential conflict the firm identifies. Peak also relies on third‑party support from Focus Partners Advisor Solutions for back‑office services and fixed‑income sub‑advisory work and participates in Schwab Advisor Services for trade execution and custody, arrangements the firm describes as central to its service delivery and reporting.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Passive / index investing
Tax-loss harvesting
College savings (529s, UTMA, etc.)
General retirement planning
Occupation focus
Founder/Business Owner
Fee options
$0 - $200,000: 1.85% $200,001 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.90% $2,000,001 - $3,000,000: 0.80% $3,000,001 - $5,000,000: 0.70% $5,000,001 - $10,000,000: 0.50% $10,000,001 - $20,000,000: 0.40% $20,000,001+: 0.35%
Account minimum: $400,000 Minimum fee: $5,000 minimum annual fee for Investment Management Services Fee-only: Investment Management and Employee Benefit Plan services are fee-only (no commissions)
Main office location
Peak Investment Solutions, LLC
1508 Eureka Road, Suite 180
Roseville CA 95661, United States
Number of offices
2
Most active in
Peak Investment Solutions, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · California · Texas
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.
Forms ADV
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