SourcingSourcing

HIGHLAND PEAK CAPITAL, LLC

C36
CRD 306304·SEC 801-126274·OLD GREENWICH, CT
AUM
$333.2M
$100M-$500M
Est. Revenue
$3.3M
@ 1% on AUM
Est. EBITDA
$1000K
@ 30% margin
Est. Deal Value
$8.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HIGHLAND PEAK CAPITAL, LLC
CRD
306304
SEC file #
801-126274
EIN
843388288
DBA names
—

Economics

AUM
$333.2M
AUM band
$100M-$500M
AUM trajectory
'23'26
$189.9M → $333.2M▲ +75%
Client mix
Pooled Investment Vehicles7
State Or Municipal Govt1

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
2 advisors → 3 advisors▲ +50%
Primary office
OLD GREENWICH CT
Branches
—

Custodian & Brokerage

Primary custodian
Wells Fargolow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
highlandpeakcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MORRIS, GRAHAM, ALED
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
MORRIS, GRAHAM, ALED
KIRNER, SETH, SE EUNG
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
HIGHLANDPEAKCAPITAL.COM
Rdap Domain Creation Date
2019-08-17T14:37:17Z
Rdap Firm Age Years
7
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001797028
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2020-01-14
Edgar Last Filing Date
2026-01-13
Edgar Form D Count
7
Edgar Form D Offerings
2026-01-132026-01-13 · 0001797028-26-000001
2024-12-162024-12-16 · 0001797028-24-000003

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Wells Fargo6
E*trade4
Jpmorgan2
Edgar Addresses
Mailing
53 FOREST AVESUITE 104OLD GREENWICH, CT 06870
Business
53 FOREST AVESUITE 104OLD GREENWICH, CT 06870
Edgar EIN
843388288
Edgar Recent Filings
D/A2026-01-13 · 0001797028-26-000001
D/A2024-12-16 · 0001797028-24-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-17T14:37:17Z
Rdap Domain Last Changed
2025-08-18T17:02:00Z
Rdap Nameservers
Ns71.domaincontrol.comNs72.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
3256221
Trust Company Affiliate
Yes

People (3)

3
MORRIS, GRAHAM, ALED
Direct Owner · 87.5%
3256221
KIRNER, SETH, SE EUNG
Executive Officer · 2.5%
7527289
MARSHAL, CRAIG, BRIAN
Executive Officer · 2.5%
6025570