P
Pinnacle Peak Capital Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,963,000
Clients
5
40% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
Very LowAverage account size
$792,600
About
Pinnacle Peak Capital Management, LLC is a small, independent registered investment adviser that provides discretionary asset management to individual and high‑net‑worth clients, including retirement and trust accounts. As a sole practitioner, the firm manages approximately $3.96 million across five clients and maintains a deliberately limited client roster to allow frequent, direct interaction between the advisor and clients.
The firm uses a blend of fundamental and technical analysis with a generally long‑term investment philosophy while permitting short‑term trading as needed, and it offers tailored equity portfolios with optional equity‑options strategies such as covered call writing, cash‑secured puts and pure long option positions. The firm does not use futures or traditional fixed‑income instruments, may employ limited leverage (typically capped around 15%), and states that portfolios are constructed with objectives that include countering inflation and potential declines in the U.S. dollar.
Notable operational features include practices intended to foster client engagement—such as quarterly fee billing paid directly by clients and routine telephone and written communications—and a Code of Ethics that allows the principal to hold the same securities as clients with safeguards against trading priority. The firm’s disclosures also note a prior customer complaint and a mediated civil settlement in which the principal contributed to the resolution, a material item included in its regulatory filings.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Concentrated stock management
Fee options
$0 - $2,000,000: 1.25% $2,000,001+: 1.00% $0 (if client chooses to utilize options) - $2,000,000: 1.5% $2,000,001 (if client chooses to utilize options)+: 1.25%
Fee-only: Clients pay quarterly in arrears based on assets under management.
Main office location
Pinnacle Peak Capital Management LLC
Vernon Hills IL, United States
Number of offices
1
Most active in
Pinnacle Peak Capital Management LLC has reported serving >5 clients in these states in the last 12 months.
Illinois
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 not active or affiliated with:
-
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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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
Advisors at this firm
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