Peak Financial Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 101–250 clients last fiscal year.
Peak Financial Management reports 156 clients. They include 129 individual clients, 25 high-net-worth individuals and 1 charitable organization. Of its assets, 100.0% ($109M across 156 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 83% | 50% |
| High-net-worth individuals | 16% | 50% |
| Banking or thrift institutions | Fewer than 5 | 0% |
| Pension and profit-sharing plans | Fewer than 5 | 0% |
| Charitable organizations | <1% | <1% |
| Other client typesState or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | <1% | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 129 | $54.4M | 49.7% | $422K |
| High-net-worth individuals | 25 | $54.7M | 50.0% | $2.19M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pension and profit-sharing plans | Fewer than 5 | $0 | 0.0% | — |
| Charitable organizations | 1 | $124K | 0.1% | $124K |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | 1 | $134K | 0.1% | $134K |
| Total | 156 | $109M | 100% | — |
- Clients
- 129
- Regulatory AUM
- $54.4M
- AUM share
- 49.7%
- Avg. per client
- $422K
- Clients
- 25
- Regulatory AUM
- $54.7M
- AUM share
- 50.0%
- Avg. per client
- $2.19M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 1
- Regulatory AUM
- $124K
- AUM share
- 0.1%
- Avg. per client
- $124K
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 1
- Regulatory AUM
- $134K
- AUM share
- 0.1%
- Avg. per client
- $134K
Total
- Clients
- 156
- Regulatory AUM
- $109M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Peak Financial Management is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Coaching Services
- Coaching services cost $1,500 a year, billed quarterly in advance at $375 a quarter.
- Consulting Services
- Consulting services carry a fixed fee that may range up to $30,000, due on completion.
- Financial Planning Services
- Financial planning services cost $3,000, $6,000 or $9,000 a year, billed quarterly in advance.
- Wealth Planning Services
- Wealth planning services cost an annual fee of $12,000, billed quarterly in advance.
Nicholas Wolverton owns 75% or more of Peak Financial Management. The leadership team of Peak Financial Management includes President Nicholas Wolverton. It has 4 employees, 2 of them in advisory roles.
Leadership
- Nicholas WolvertonChief Compliance Officer and President
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Peak Financial Management, Inc.
Nicholas Wolverton
Control person · since January 2020
Besides its headquarters, Peak Financial Management has 0 offices, with 1 listed address in Colorado.
Colorado · 1 listed address
- 10901 W. 120th Avenue, Suite 135, BroomfieldHQ
Contact and registration details
- Legal name
- Peak Financial Management, Inc.
- Headquarters
- 10901 W. 120th Avenue, Suite 135, Broomfield, CO 80021
- Website
- peakfinancialmanagement.com
- Phone
- 303-255-2252
- @2012824
- SEC file
- 801-134603
- Structure
- Colorado corporation
- Fiscal year end
- December
Peak Financial Management uses Fidelity ($109M) as custodian for its separately managed accounts. Peak Financial Management does not have custody of client assets.
- FidelityFidelity Distributors Company LLC · Smithfield, RI · $109M100%
At year end, Peak Financial Management’s separately managed accounts were mostly in stocks (70%) and funds (25%).
What the accounts hold
- Stocks70%
- Funds25%
- Bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash3%
How many clients does Peak Financial Management have?
Peak Financial Management has 156 clients and manages $109 million for them, as of February 2026. They include 129 individual clients, 25 high-net-worth individuals and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 February 2026
What services does Peak Financial Management offer?
Peak Financial Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Peak Financial Management use?
Peak Financial Management’s separately managed account assets are held at Fidelity Distributors Company LLC (Smithfield, RI), with $109M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 February 2026
How many financial advisors does Peak Financial Management have?
Peak Financial Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 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
What does Peak Financial Management invest in?
At the end of its last fiscal year, Peak Financial Management’s separately managed accounts held 70% exchange-traded equities, 25% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Peak Financial Management?
Peak Financial Management’s direct owner is Nicholas Wolverton (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 13 February 2026
How does Peak Financial Management get paid?
Peak Financial Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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
How do I contact Peak Financial Management?
Peak Financial Management’s main office is at 10901 W. 120th Avenue, Suite 135, Broomfield, CO 80021. Its phone number is 303-255-2252. Its website is peakfinancialmanagement.com.