SourcingSourcing

PEAK FINANCIAL MANAGEMENT, INC.

C48
CRD 281223·SEC 801-134603·BROOMFIELD, CO
AUM
$109.4M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$328K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PEAK FINANCIAL MANAGEMENT, INC.
CRD
281223
SEC file #
801-134603
EIN
043127512
DBA names
—

Economics

AUM
$109.4M
AUM band
$100M-$500M
AUM trajectory
'25'26
$106.0M → $109.4M▲ +3%
Client mix
Individuals Other129
Individuals High Net Worth25
Charitable Organizations1
Corporations1

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
BROOMFIELD CO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/13/2026
ADV-W filed at
—
Website
peakfinancialmanagement.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Wolverton, Nicholas, James
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
Wolverton, Nicholas, James
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
PEAKFINANCIALMANAGEMENT.COM
Rdap Domain Creation Date
2000-07-25T17:04:11Z
Rdap Firm Age Years
26
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
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
E*trade4
Fidelity2
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
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-07-25T17:04:11Z
Rdap Domain Last Changed
2023-05-26T06:49:17Z
Rdap Nameservers
Ns65.worldnic.comNs66.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
6547199
Trust Company Affiliate
No

People (2)

2
Wolverton, Nicholas, James
IAR · Direct Owner · 87.5%
6547199
Ty William Johnson
IAR
7347673