SourcingSourcing

THREE PEAKS CAPITAL MANAGEMENT, LLC

A66
CRD 127402·SEC 801-62196·CASTLE ROCK, CO
AUM
$222.9M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$669K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THREE PEAKS CAPITAL MANAGEMENT, LLC
CRD
127402
SEC file #
801-62196
EIN
562355177
DBA names
—

Economics

AUM
$222.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$718.8M → $222.9M▼ -69%
Client mix
Individuals Other31
Individuals High Net Worth29
Pension Profit Sharing Plans6
Charitable Organizations3
Corporations3

Operations

Employees (total)
5
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
5 advisors → 4 advisors▼ -20%
Primary office
CASTLE ROCK CO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
threepeaks.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RUFENACHT, SANDY, RAY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
RUFENACHT, SANDY, RAY
BAUMAN, ANDREW, LEE
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
THREEPEAKS.COM
Rdap Domain Creation Date
2002-05-13T18:13:53Z
Rdap Firm Age Years
24
Rdap Firm Age Band
20+y
Rdap Registrar
The Registry at Info Avenue, LLC d/b/a Spirit Communications

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
79,510
Form 5500 Compensation Trajectory 3y
202641,187
202538,323
Form 5500 Plan Count Trajectory 3y
20252
20261
Schedule C Total Compensation
79,510
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Cik
0001598013
Edgar Registered
Yes
Edgar Filing Count
32
Edgar First Filing Date
2014-02-11
Edgar Last Filing Date
2021-10-12
Edgar 13f Count
32
Edgar 13f Latest AUM Estimate
Filing Date2021-10-12
Accession0001598013-21-000004

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4673
Soi Zip Pct 200k Plus
0.1814
Soi Zip Returns 200k Plus
2,360
Soi Zip Total AGI
1,740,183
Fdic Zip Total Deposits
3,289,265,000
Fdic Zip Branch Count
33
Fdic Zip Top Banks
Wells Fargo Bank, National Association
ANB Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
3750 DACARO LANE, SUITE 100CASTLE ROCK, CO 80109
Business
3750 DACARO LANE, SUITE 100CASTLE ROCK, CO 80109
Edgar EIN
562355177
Edgar Recent Filings
13F-HR2021-10-12 · 0001598013-21-000004
13F-HR2021-07-14 · 0001598013-21-000003
Fdic Zip Branches Raw
Wells Fargo Bank, National AssociationCastle Rock, CO
Wells Fargo Bank, National AssociationCastle Rock, CO
Fdic Zip HHI
7737.5
Fdic Zip Top Bank Share Pct
87.46
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-05-13T18:13:53Z
Rdap Domain Last Changed
2025-04-30T17:15:49Z
Rdap Nameservers
Dns1.spiritdomains.comDns2.spiritdomains.comDns3.spiritdomains.comDns4.spiritdomains.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI29,495
Returns2,680
Stub 2
AGI59,586
Returns1,600
Stub 3
AGI87,975
Returns1,410
Soi Zip Total Business Income
44,101
Soi Zip Total Cap Gains
124,099
Soi Zip Total Dividends
23,529
Soi Zip Total Returns
13,010
Top Owner CRD
1834195
Trust Company Affiliate
No

People (3)

3
RUFENACHT, SANDY, RAY
Direct Owner · 87.5%
1834195
BAUMAN, ANDREW, LEE
Executive Officer · 2.5%
6030928
MCLAUGHLIN, ASHLEY, DIANE
Executive Officer · 2.5%
7295061