Peak Financial Management Inc

RIASEC Registered
Total AUM
$534M
Discretionary
$534M
100% of AUM
Avg account
$315K
Accounts
1,696
Employees
9
Advisory reps
7

Firm details

Headquarters
Wellesley, Massachusetts
CRD number
110559
Registered since
August 30, 1991
Website
www.peak-financial.com
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI86.36%
  • Individuals12.59%
  • Pension & Profit Sharing Plans1.05%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Peak Financial Management Inc is an independent, individual-owned registered investment adviser that has been SEC-registered since 1991. The firm serves primarily individual and family clients and combines portfolio management with financial planning services; it also provides portfolio management for small businesses and institutional clients and operates an insurance brokerage line. Fee arrangements include a percentage of assets under management and hourly charges. Peak identifies as a capital allocator, using third-party managers alongside its public-fund allocations. The firm was recognized by FA Magazine as one of its Top RIA Firms in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 78%, Exchange Traded Equities 8%, Cash & Cash Equivalents 8%, US Government Bonds 2%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%78%
  • Public Funds/Mutual Funds78%
  • Exchange Traded Equities8%
  • Cash & Cash Equivalents8%
  • US Government Bonds2%
  • State & Local Bonds1%

Owners & executives

2 of 2
  • Jeffrey Smith

    Jeffrey Smith

    Chief Investment OfficerCRD 4163198

  • Shaun Thompson

    Shaun Thompson

    Chief Compliance OfficerCRD 5414525

Contacts

3 of 5
  • Roberto Pandolfi

    Roberto Pandolfi

    AssociateCRD 7200273

  • Neel Tiku

    Neel Tiku

    Senior Relationship AdvisorCRD 6031243

  • Christopher Gaffney

    Christopher Gaffney

    Vice PresidentCRD 2896156

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 85

Active vs passive

$487M in ETFs

Passive

88%

$428M

Active

9%

$58.9M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL INTERNATIONAL STOCK INDEX FUND (VXUS)VanguardPassiveForeign Large Blend$51.4M605,46810.57%
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Location

Primary office

Wellesley, MA

Norfolk

Location

Wellesley, MA

Headquartered in Wellesley, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Norfolk
Address
93 Worcester St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth