PEAK FINANCIAL MANAGEMENT INC

RIASEC RegisteredEst. 1991
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 registered investment adviser, operating as a corporation and owner-managed since its SEC registration in 1991. The firm serves individual and family clients and describes itself as a capital allocator, combining financial planning and discretionary portfolio management for individuals, small businesses and institutional/business clients. Advisory fees are charged primarily as a percentage of assets under management, with hourly billing available for some engagements. Peak also maintains insurance brokerage capabilities alongside its advisory practice. The firm was recognized in FA Magazine’s Top RIA Firms list in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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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

    Chief Investment OfficerCRD 4163198

  • SHAUN THOMPSON

    Chief Compliance OfficerCRD 5414525

Contacts

3 of 5

  • ROBERT ROSELLI

    Operations DirectorCRD 2463285

  • NEEL TIKU

    Senior Relationship AdvisorCRD 6031243

  • PRAN TIKU

    PresidentCRD 1272864

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 76

Active vs passive

$438M in ETFs

Passive

87%

$383M

Active

10%

$55.2M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL INTERNATIONAL STOCK INDEX FUND (VXUS)VanguardPassiveForeign Large Blend$45.7M593,25210.44%
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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