P
Peak Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$5,662,000
Total clients
8
25% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
8
Average account size
$707,750
About
The firm provides personalized investment management and related financial planning services to individuals, pension and profit-sharing plans, and small businesses, including retirement planning, cash‑flow and legacy planning, education funding, tax and insurance reviews. It operates as a small independent advisory practice with a limited client base and does not serve as custodian of client assets.
The adviser delivers discretionary portfolio management guided by client-specific investment objectives and written investment policy statements, relying primarily on fundamental analysis and periodic account reviews to monitor risk and allocations. It charges asset-based advisory fees and commonly places clients with third‑party money managers, acting as a liaison and providing ongoing client service while custodians hold client assets.
What distinguishes this firm from many peers is its active role in pension consulting—working directly with plan sponsors and plan participants on qualified retirement plans—and its affiliation with an insurance business: the adviser is a licensed insurance agent who may offer insurance products and receive commissions. The firm discloses these relationships and related referral arrangements with third‑party managers as potential conflicts of interest and states procedures and client consents to mitigate them.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Expertise
General retirement planning
Income planning
Wealth management
Occupation focus
Self-Employed
Retired
Fee options
$0 - $500,000: 1.50% annually $500,001 - $1,000,000: 1.25% annually Over $1,000,000+: 1.00% annually
Main office location
Peak Investments
Oak Harbor WA, United States
Number of offices
1
Most active in
Peak Investments has reported serving >5 clients in these states in the last 12 months.
Texas · Washington
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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