frequently asked questions

Along with our personal values and business approach in putting our clients’ best interests first, as a SEC Registered Investment Advisor under the Investment Advisers Act of 1940, Peak has a fiduciary duty to act in the best interest of our clients.

Frankly, we do not understand why our regulatory and legal system does not hold every financial professional, including Registered Representatives (stock brokers) and Insurance Agents, to the same high standards. 

There is no doubt in our mind that putting our clients’ best interests first is the right thing to do for our clients and for our business. We would not have it any other way.

A custodian is a financial institution that keeps investor assets—primarily stocks—safe and secure. As a financial advisory firm, Peak does not hold onto your money or stocks. Your assets are held by reputable custodians (primarily Charles Schwab), and you may access real-time account information through their online portals.

We are a fee-only advisory firm, meaning we don’t make any money from commissions. This fee-only approach is directly tied to our role as a fiduciary acting in your best interest. 

Our fees are based on the following schedule:

To get an estimate of our fee to work with you, fill out the form at the bottom of this page and we’ll be in touch.

Absolutely not! We have strong relationships with clients across the country.

Our minimum for investable assets under management (AUM) is typically $1 million. The average client at Peak has about $2.5 million of investable assets under management. While our services are not a universal solution to all wealth management needs, we have built our business on principles that we believe position us to provide a superior solution to a select group of investors. We are always happy to answer your questions and share our expertise even if you do not currently meet Peak's minimums.