SourcingSourcing

PEAK FINANCIAL MANAGEMENT INC

C47
CRD 110559·SEC 801-39737·WELLESLEY, MA
AUM
$534.4M
$500M-$1B
Est. Revenue
$5.3M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PEAK FINANCIAL MANAGEMENT INC
CRD
110559
SEC file #
801-39737
EIN
043127512
DBA names
—

Economics

AUM
$534.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$273.5M → $534.4M▲ +95%
Client mix
Individuals Other192
Individuals High Net Worth161

Operations

Employees (total)
9
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
5 advisors → 7 advisors▲ +40%
Primary office
WELLESLEY MA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
04/14/2026
ADV-W filed at
—
Website
peak-financial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TIKU, PRAN, NATH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
TIKU, PRAN, NATH
TIKU, NEEL, K.
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PEAK-FINANCIAL.COM
Rdap Domain Creation Date
1997-06-08T04:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001669662
Edgar Registered
Yes
Edgar Filing Count
44
Edgar First Filing Date
2016-04-06
Edgar Last Filing Date
2026-04-28
Edgar 13f Count
42
Edgar 13f Latest AUM Estimate
Filing Date2026-04-28
Accession0001669662-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
9
Bc Firm Active IA Count
33
Bc Firm IAR Count
33
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Edgar Addresses
Mailing
93 WORCESTER STREETSUITE 101WELLESLEY, MA 02481
Business
93 WORCESTER STREETSUITE 101WELLESLEY, MA 02481
Edgar EIN
043127512
Edgar Recent Filings
13F-HR2026-04-28 · 0001669662-26-000002
13F-HR2026-01-23 · 0001669662-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-06-07T04:00:00Z
Rdap Domain Last Changed
2022-08-30T22:35:39Z
Rdap Nameservers
Elisa.ns.cloudflare.comOswald.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1272864
Trust Company Affiliate
No

People (24)

24
TIKU, PRAN, NATH
IAR · Direct Owner · 87.5%
1272864
TIKU, NEEL, K.
IAR · Direct Owner · 17.5%
6031243
THOMPSON, SHAUN, PATRICK
IAR · Executive Officer · 2.5%
5414525
GAFFNEY, CHRISTOPHER, KARL
IAR · Executive Officer · 2.5%
2896156
DAVID LINTON RIGG
IAR
6473551
JEFFREY CHARLES SMITH
IAR
4163198
ROBERTO MARIO PANDOLFI
IAR
7200273
SCOTT ALLAN MCCORD
IAR
4307530
ROBERT STEPHEN ROSELLI
IAR
2463285
RUSSELL JOHN KRAMER
IAR
2365564
NANCY SELENA BULLOCK-SWANSON
IAR
4868611
TIMOTHY J OBERLEY
IAR
5348077
Michael Alan Rodgers
IAR
6564456
DONALD F ROSALEZ
IAR
1913993
ZUPANCIC, JEFFREY, LAWRENCE
IAR
2465727
STEVEN BRANT COLLIER
IAR
6654231
SCOTT T ETZEL
IAR
5505697
Ronald T Swanick
IAR
2494653
KRISTOFFER EDOU DOURA
IAR
6439198
Mark Chalem
IAR
6636976
GARY WAYNE BILYEU
IAR
6457268
SEAN Michael FACEY
IAR
7226449
Grayeson Thomas Griess
IAR
7900359
Jeffrey Thomas Bone
IAR
7034013