Peak Rock Capital LLC (Austin)

Name: Peak Rock Capital LLC
Address: 13413 Galleria Circle, Austin, TX, 78738
Telephone: 512-765-6520

Peak Rock Capital LLC is a large advisory firm based in Austin. It manages $2.02 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2012.

Peak Rock Capital provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Peak Rock Capital: assets under management

The assets under management (AUM) of Peak Rock Capital LLC is $2.02 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1011983232% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.02 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $224.89 million each.

Peak Rock Capital has custody of $2.02 billion in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Peak Rock Capital LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Peak Rock Capital serves?

The only and largest group of clients of Peak Rock Capital is pooled investment vehicles with 9 clients and $2.02 billion of assets under management. Among the 9 most similar advisory firms, Peak Rock Capital has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.02 billion for 9 clients. None of the firm’s clients are foreign persons or businesses.

Peak Rock Capital also advises several private funds. Namely, nine hedge funds. The minimum investment commitment required of non-related persons ranges from $6,250 to $5,000,000.

Careers at Peak Rock Capital LLC

The company employs 39 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No 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
Steven Edward Martinez	Managing director	1 Jul 2012	Other	2511668
Lake Travis Capital Llc	Member	1 Jul 2012	50% - 75%	45-5514683
The Martinez Family Living Trust	Member	1 Jul 2012	25% - 50%	xx-xxxxxxx
Anthony K. Disimone	Member, chief executive officer and managing director	1 Jul 2012	Other	6024732
Peter John Leibman	Member and managing director	1 Jul 2012	Other	2912170
Tiffany Faircloth Kosch	Member and managing director	1 Jul 2012	Other	6109900
Jungwoo Choi	Chief financial officer and chief compliance officer	1 Oct 2012	Other	4919743

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Steven Edward Martinez	Trustee	1 Aug 2007	Other	2511668
Wendy Blue Martinez	Trustee	1 Aug 2007	Other	6109902
Anthony K. Disimone	Member	1 Jun 2012	25% - 50%	6024732
Sarah Warren Disimone	Member	1 Jun 2012	25% - 50%	6110555

Based in Austin

The principal office where Peak Rock Capital LLC performs its advisory services is located at 13413 Galleria Circle, Austin, TX 78738, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 512-765-6520 or by fax 512-765-6530. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at peakrockcapital.com.