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 that serves individual and family clients, offering fee-based wealth management and planning. The firm combines portfolio management with financial planning and insurance brokerage activity, charging both a percentage of assets under management and hourly fees. Founded and SEC-registered in 1991, Peak operates as a capital allocator and places client portfolios predominantly into public funds and mutual funds while also accessing third-party alternative managers. Peak was recognized by FA Magazine in 2020 on its Top RIA Firms list. Advisory capabilities listed for the firm include financial planning, portfolio management for individuals and small businesses, and portfolio management for businesses or institutions.

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
  • Robert Roselli

    Robert Roselli

    Operations DirectorCRD 2463285

  • Neel Tiku

    Neel Tiku

    Senior Relationship AdvisorCRD 6031243

  • Pran Tiku

    Pran Tiku

    PresidentCRD 1272864

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 82

Active vs passive

$483M in ETFs

Passive

88%

$425M

Active

9%

$57.9M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL INTERNATIONAL STOCK INDEX FUND (VXUS)VanguardPassiveForeign Large Blend$51.3M600,30210.63%
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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