{"url":"https://nivawealth.com/firms/lone-peak-advisers-296772","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/296772","regulatoryAum":125444600,"crd":"296772","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7521400","suffix":null,"lastName":"DeMuth","firstName":"Jim","middleName":"Lee"},{"crd":"2141107","suffix":null,"lastName":"GOMEZ","firstName":"DANIEL","middleName":"GERALD"},{"crd":"4803779","suffix":null,"lastName":"HAMMER","firstName":"AARON","middleName":"L"},{"crd":"1241412","suffix":null,"lastName":"JAMES","firstName":"DAVID","middleName":"WILLIAM"},{"crd":"4171462","suffix":null,"lastName":"MYERS","firstName":"BRAD","middleName":"JEDD"},{"crd":"6231100","suffix":null,"lastName":"ROYTER","firstName":"ZACH","middleName":"R"},{"crd":"7472279","suffix":null,"lastName":"Shackelford","firstName":"David","middleName":"K"},{"crd":"4220434","suffix":null,"lastName":"WARNOCK","firstName":"LAURA","middleName":"CARRERA"}],"total":8,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-13","regulatoryAum":197000000,"clients":800,"employees":10,"offices":1},{"filedOn":"2022-03-14","regulatoryAum":148039344,"clients":440,"employees":10,"offices":1},{"filedOn":"2023-05-30","regulatoryAum":148039344,"clients":440,"employees":10,"offices":1},{"filedOn":"2024-06-13","regulatoryAum":114600000,"clients":575,"employees":10,"offices":2},{"filedOn":"2025-03-03","regulatoryAum":119000000,"clients":718,"employees":10,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":125444600,"clients":905,"employees":8,"offices":1}],"secFileNumber":"801-127627","legalName":"Lone Peak Advisers, LLC","displayName":"Lone Peak Advisers","slug":"lone-peak-advisers-296772","website":"https://lonepeakadvisers.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Utah limited liability company","fiscalYearEnd":"December","headquarters":{"street":"11650 South State Street, Suite 200","city":"Draper","state":"UT","stateName":"Utah","country":"United States","postalCode":"84020-7150"},"tradeNames":["Cartograph Wealth","DK Financial Network","Pepperwood Financial","TB Advisers"],"registration":{"secApproved":"28 March 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":138612.817679558,"staff":{"employees":8,"advisory":8,"brokerDealerReps":6,"insuranceAgents":7,"promoters":0},"aum":{"regulatory":125444600,"discretionary":125444600,"discretionaryAccounts":905,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":855,"regulatoryAum":75444600},{"label":"High-net-worth individuals","clients":50,"regulatoryAum":50000000}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"Financial planning is charged at $330.36 per hour with a 3-hour minimum, or a negotiated fixed fee for the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013683","versionId":1013683,"submittedOn":"2026-03-03","documentName":"LONE PEAK ADVISERS, LLC - FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:02:37.086474+00:00","documents":[{"name":"LONE PEAK ADVISERS, LLC - FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013683","versionId":1013683,"submittedOn":"2026-03-03"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":50000000},{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CA","smaAssets":2000000},{"name":"Assetmark, Inc","shortName":"Assetmark","location":"Concord, CA","smaAssets":20000000}],"custodyNote":"Lone Peak Advisers does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brad Myers","title":"Supervisory Principal & Chief Compliance Officer","crd":"4171462"},{"name":"David James","title":"Manager/Principal","crd":"1241412"}],"ownership":[{"label":"David James","detail":"Manager/principal in the 75% or more ownership band and a control person, since May 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Utah","offices":1,"addresses":[{"street":"11650 South State Street, Suite 200","city":"Draper","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"801-855-8886","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"Securities issued by registered investment companies or business development companies","percent":35},{"label":"Cash and cash equivalents","percent":35}],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/296772/PDF/296772.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013683","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Lone Peak Advisers have?","answer":"Lone Peak Advisers has 905 clients and manages $125 million for them, as of March 2026. They include 855 individual clients and 50 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lone Peak Advisers offer?","answer":"Lone Peak Advisers provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Lone Peak Advisers use?","answer":"Lone Peak Advisers’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $50M, Assetmark, Inc (Concord, CA), with $20M and Interactive Brokers LLC (Greenwich, CA), with $2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lone Peak Advisers have?","answer":"Lone Peak Advisers has 0 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 7 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Lone Peak Advisers invest in?","answer":"At the end of its last fiscal year, Lone Peak Advisers’ separately managed accounts held 35% registered funds (mutual funds, ETFs, BDCs), 35% cash and equivalents and 30% exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Lone Peak Advisers?","answer":"Lone Peak Advisers’ direct owner is David James (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lone Peak Advisers get paid?","answer":"Lone Peak Advisers is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Lone Peak Advisers?","answer":"Lone Peak Advisers’ main office is at 11650 South State Street, Suite 200, Draper, UT 84020-7150. Its phone number is 801-855-8886. Its website is lonepeakadvisers.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}