{"url":"https://nivawealth.com/firms/peak-wealth-solutions-127391","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127391","regulatoryAum":911579977,"crd":"127391","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4348887","suffix":null,"lastName":"GROMEK","firstName":"GREGORY","middleName":"MICHAEL"},{"crd":"4203137","suffix":null,"lastName":"KOCSIS","firstName":"DAVID","middleName":"PAUL"},{"crd":"5416977","suffix":null,"lastName":"KOCSIS","firstName":"KEVIN","middleName":"JOHN"},{"crd":"4546398","suffix":null,"lastName":"MUCCIARONE","firstName":"JEFFREY","middleName":"DAVID"},{"crd":"2349883","suffix":null,"lastName":"RUSSO","firstName":"WILLIAM","middleName":"IGNATIUS"},{"crd":"6519394","suffix":null,"lastName":"Vujanov","firstName":"Daniel","middleName":null},{"crd":"6483423","suffix":null,"lastName":"Witkowski","firstName":"Keith","middleName":"Richard"}],"total":7,"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":"2021-03-18","regulatoryAum":470000000,"clients":556,"employees":10,"offices":1},{"filedOn":"2022-03-10","regulatoryAum":586320000,"clients":611,"employees":11,"offices":1},{"filedOn":"2023-03-20","regulatoryAum":550962000,"clients":642,"employees":11,"offices":1},{"filedOn":"2024-03-08","regulatoryAum":657775000,"clients":672,"employees":11,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":789182723,"clients":688,"employees":10,"offices":1},{"filedOn":"2026-03-28","regulatoryAum":911579977,"clients":718,"employees":10,"offices":1}],"secFileNumber":"801-71071","legalName":"Peak Wealth Solutions, Inc.","displayName":"Peak Wealth Solutions","slug":"peak-wealth-solutions-127391","website":"https://peakwealthsolutions.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/peak-wealth-solutions/","xUrl":"https://twitter.com/retirepeak","founded":null,"organization":"Ohio corporation","fiscalYearEnd":"December","headquarters":{"street":"30195 Chagrin BLVD., Suite 360","city":"Pepper Pike","state":"OH","stateName":"Ohio","country":"United States","postalCode":"44124"},"tradeNames":[],"registration":{"secApproved":"25 February 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assets a year, up to $600 an hour, or a flat rate, as negotiated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030438","versionId":1030438,"submittedOn":"2026-03-28","documentName":"PEAK WEALTH SOLUTIONS FIRM BROCHURE DTD 3/15/2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:29:29.032068+00:00","documents":[{"name":"PEAK WEALTH SOLUTIONS FIRM BROCHURE DTD 3/15/2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030438","versionId":1030438,"submittedOn":"2026-03-28"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":689972723}],"custodyNote":"Peak Wealth Solutions does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory Gromek","title":"Managing Principal, Chief Compliance 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management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":62},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":20}],"privateFunds":0},"sources":{"adv1FilingDate":"28 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127391/PDF/127391.pdf","brochureDate":"28 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030438","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 Peak Wealth Solutions have?","answer":"Peak Wealth Solutions has 718 clients and manages $912 million for them, as of March 2026. They include 364 individual clients, 312 high-net-worth individuals, and 32 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Peak Wealth Solutions offer?","answer":"Peak Wealth Solutions provides financial planning, portfolio management for individuals and small businesses, pension consulting, educational seminars, education planning, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Peak Wealth Solutions charge?","answer":"Peak Wealth Solutions charges 0.35%–1.50% for its Investment Management Fees. The brochure does not state whether the rate is annual.","source":"PEAK WEALTH SOLUTIONS FIRM BROCHURE DTD 3/15/2026, filed 28 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Peak Wealth Solutions use?","answer":"Peak Wealth Solutions’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $690M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Peak Wealth Solutions have?","answer":"Peak Wealth Solutions has 7 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 5 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 Peak Wealth Solutions invest in?","answer":"At the end of its last fiscal year, Peak Wealth Solutions’ separately managed accounts held 62% exchange-traded equities, 20% cash and equivalents, 12% registered funds (mutual funds, ETFs, BDCs), 5% non-exchange-traded equities and 1% state and local bonds.","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 Peak Wealth Solutions?","answer":"Peak Wealth Solutions’ direct owners are David Kocsis (50% to 75%) and Gregory Gromek (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 28 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Peak Wealth Solutions get paid?","answer":"Peak Wealth Solutions is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 Peak Wealth Solutions?","answer":"Peak Wealth Solutions’ main office is at 30195 Chagrin BLVD., Suite 360, Pepper Pike, OH 44124. Its phone number is 216-370-7887. Its website is peakwealthsolutions.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 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."}