Peak Planning Group, LLC (Denver)

Name: Peak Planning Group, LLC
Address: 2900 S University Blvd., Denver, CO, 80210
Telephone: 303-991-0056

Peak Planning Group, LLC is a large advisory firm based in Denver. It manages $108.84 million of regulatory assets for 139 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of California, Colorado, New York, Texas, and Washington.

Peak Planning Group provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Peak Planning Group: assets under management

The assets under management (AUM) of Peak Planning Group, LLC is $108.84 million. The firm's AUM has grown by 30% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $103.22 million in discretionary accounts and $5.62 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $747.98 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.62 million.

Investments

The firm invests in investment and business development companies the most. They account for 65% of the total AUM. The second-largest asset type is exchange traded securities, which make up 32% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Peak Planning Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Peak Planning Group serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Peak Planning Group is high net worth individuals with 39 clients and $75.7 million of assets under management. Among the 12 most similar advisory firms, Peak Planning Group has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $108.84 million for 139 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Peak Planning Group doesn't advise any private funds.

Careers at Peak Planning Group, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Louis Peter Patierno	Managing member, chief compliance officer	1 Feb 2002	75% - 100%	2142525

Based in Denver

The principal office where Peak Planning Group, LLC performs its advisory services is located at 2900 S University Blvd., Denver, CO 80210, which is also the mailing address of the firm. An additional office of the firm is in San Jose, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-991-0056. The normal business hours are 8 am to 5 pm on Monday - Friday. You can find more information about the New York firm at peakplan.com/.