{"url":"https://nivawealth.com/firms/olympus-peaks-financial-283040","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283040","regulatoryAum":141443347,"crd":"283040","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5308823","suffix":null,"lastName":"MAXFIELD","firstName":"REGINALD","middleName":"TROY"}],"total":1,"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"},"secFileNumber":"801-134885","legalName":"Olympus Peaks Financial, LLC","displayName":"Olympus Peaks Financial","slug":"olympus-peaks-financial-283040","website":"https://olympuspeaks.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/283040/073a84733ae74bc6-r1.webp","tone":"light","width":312,"height":200,"sourceUrl":"https://www.olympuspeaks.com","sourceLabel":"Olympus Peaks Financial, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"HTTPS://www.linkedin.com/company/olympuspeaksfinancial","founded":null,"organization":"Utah limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9035 S 1300 E Ste 120","city":"Sandy","state":"UT","stateName":"Utah","country":"United States","postalCode":"84094"},"tradeNames":[],"registration":{"secApproved":"21 January 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":867750.5950920245,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":141443347,"discretionary":141443347,"discretionaryAccounts":388,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":18},"clientTypes":[{"label":"Individuals (other than HNW)","clients":81,"regulatoryAum":35360837},{"label":"High-net-worth individuals","clients":82,"regulatoryAum":106082510}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=953234","versionId":953234,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-01-13","documentName":"ADV PART 2A-OLYMPUS PEAKS FINANCIAL, LLC","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Hourly fee of up to $125, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=953234","versionId":953234,"submittedOn":"2026-01-13","documentName":"ADV PART 2A-OLYMPUS PEAKS FINANCIAL, LLC"},{"role":"other","program":"Pension Consulting Services","summary":"Asset-based plan fee of 1.00% up to $500,000, 0.75% from $500,001 to $1,000,000 and 0.50% above $1,000,000; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=953234","versionId":953234,"submittedOn":"2026-01-13","documentName":"ADV PART 2A-OLYMPUS PEAKS FINANCIAL, LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:23:43.991081+00:00","documents":[{"name":"ADV PART 2A-OLYMPUS PEAKS FINANCIAL, LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=953234","versionId":953234,"submittedOn":"2026-01-13"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=910903","versionId":910903,"submittedOn":null}]},"custodians":[{"name":"Axos Clearing LLC","shortName":"Axos Clearing","location":"Omaha, NE","smaAssets":114805577}],"custodyNote":"Olympus Peaks Financial does not have custody of client assets.","leadership":[{"name":"Reginald Maxfield","title":"President & Chief Compliance Officer","crd":"5308823"}],"ownership":[{"label":"Reginald Maxfield","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since January 2016."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Utah","offices":1,"addresses":[{"street":"9035 S 1300 E Ste 120","city":"Sandy","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"801-566-3510","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"Investment grade corporate bonds","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":80},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"21 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283040/PDF/283040.pdf","brochureDate":"13 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=953234","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 Olympus Peaks Financial have?","answer":"Olympus Peaks Financial has 163 clients and manages $141 million for them, as of January 2026. They include 82 high-net-worth individuals and 81 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Olympus Peaks Financial offer?","answer":"Olympus Peaks Financial provides financial planning, portfolio management for individuals and small businesses, pension consulting, 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":"How much does Olympus Peaks Financial charge?","answer":"Olympus Peaks Financial charges 0.50%–1.25% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable.","source":"ADV PART 2A-OLYMPUS PEAKS FINANCIAL, LLC, filed 13 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Olympus Peaks Financial use?","answer":"Olympus Peaks Financial’s separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $115M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Olympus Peaks Financial have?","answer":"Olympus Peaks Financial has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Olympus Peaks Financial invest in?","answer":"At the end of its last fiscal year, Olympus Peaks Financial’s separately managed accounts held 80% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 7% investment grade corporate bonds and 5% cash and equivalents.","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 Olympus Peaks Financial?","answer":"Olympus Peaks Financial’s direct owner is Reginald Maxfield (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Olympus Peaks Financial get paid?","answer":"Olympus Peaks Financial is paid through a percentage of assets under management and hourly charges. 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":"Is Olympus Peaks Financial registered with the SEC?","answer":"Yes, Olympus Peaks Financial has been registered with the SEC as an investment adviser since 21 January 2026. Its CRD number is 283040 and its SEC file number is 801-134885.","source":"Form ADV Part 1A, Item 1, filed 21 January 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Olympus Peaks Financial?","answer":"Olympus Peaks Financial’s main office is at 9035 S 1300 E Ste 120, Sandy, UT 84094. Its phone number is 801-566-3510. Its website is olympuspeaks.com.","source":"Form ADV Part 1A, Item 1.F, filed 21 January 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."}