Three Peaks Capital Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Three Peaks Capital Management reports 72 clients. They include 31 individual clients, 29 high-net-worth individuals, and 6 pension and profit-sharing plans. Of its assets, 100.0% ($223M across 72 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 43% | 3% |
| High-net-worth individuals | 40% | 60% |
| Pension and profit-sharing plans | 8% | 18% |
| Charitable organizations | 4% | 3% |
| Corporations and other businesses | 4% | 15% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 31 | $7.31M | 3.3% | $236K |
| High-net-worth individuals | 29 | $135M | 60.5% | $4.65M |
| Pension and profit-sharing plans | 6 | $40.7M | 18.3% | $6.79M |
| Charitable organizations | Fewer than 5 | $7.21M | 3.2% | $2.4M |
| Corporations and other businesses | Fewer than 5 | $32.8M | 14.7% | $10.9M |
| Total | 72 | $223M | 100% | — |
- Clients
- 31
- Regulatory AUM
- $7.31M
- AUM share
- 3.3%
- Avg. per client
- $236K
- Clients
- 29
- Regulatory AUM
- $135M
- AUM share
- 60.5%
- Avg. per client
- $4.65M
- Clients
- 6
- Regulatory AUM
- $40.7M
- AUM share
- 18.3%
- Avg. per client
- $6.79M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.21M
- AUM share
- 3.2%
- Avg. per client
- $2.4M
- Clients
- Fewer than 5
- Regulatory AUM
- $32.8M
- AUM share
- 14.7%
- Avg. per client
- $10.9M
Total
- Clients
- 72
- Regulatory AUM
- $223M
- 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
Three Peaks Capital Management charges up to 1.50% a year for its Advisory fee. The fee is billed in arrears and is negotiable.
Fee details and sources
Sandy Rufenacht owns 75% or more of Three Peaks Capital Management. Sandy Rufenacht is CEO; the leadership team includes Chief Compliance Officer Ashley McLaughlin. It has 5 employees, 4 of them in advisory roles.
Staff
- 5 employees
- 4 in advisory functions
- 1 soliciting firm
- Owns 75% or more of Three Peaks Capital Management, LLC
Sandy Rufenacht
Control person · since June 2003
Three Peaks Capital Management’s regulatory assets fell from $618M (May 2021) to $223M (March 2026); clients rose from 37 to 72 and employees fell from 6 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $223M | 72 | 5 | 1 |
| Mar 2025March 2025 | $251M | 63 | 5 | 1 |
| Mar 2024March 2024 | $230M | 63 | 5 | 1 |
| Jul 2023July 2023 | $215M | 52 | 5 | 1 |
| Mar 2022March 2022 | $233M | 39 | 6 | 1 |
| May 2021May 2021 | $618M | 37 | 6 | 1 |
Besides its headquarters, Three Peaks Capital Management has 0 offices, with 1 listed address in 1 state.
Colorado · 1 listed address
- 3750 Dacoro Lane, Suite 100, Castle RockHQ
Contact and registration details
- Legal name
- Three Peaks Capital Management, LLC
- Headquarters
- 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109
- Website
- threepeaks.com
- Phone
- 303-221-9480
- SEC file
- 801-62196
- Structure
- Colorado LLC
- Fiscal year end
- December
Three Peaks Capital Management’s named custodians for separately managed accounts are Bok Financial ($134M, 73%), First National Bank ($25.7M, 14%) and Central Pacific Bank ($23M, 13%). Three Peaks Capital Management has custody of client assets.
- Bok FinancialBok Financial · Denver, CO · $134M73%
- First National BankFirst National Bank · Greeley, CO · $25.7M14%
- Central Pacific BankCentral Pacific Bank · Honolulu, HI · $23M13%
At year end, Three Peaks Capital Management’s separately managed accounts were mostly in bonds (94%).
What the accounts hold
- Stocks4%
- Bonds94%
- Investment grade corporate bonds40%
- High-yield corporate bonds34%
- U.S. government and agency bonds20%
- Cash2%
How many clients does Three Peaks Capital Management have?
Three Peaks Capital Management has 72 clients and manages $223 million for them, as of March 2026. They include 31 individual clients, 29 high-net-worth individuals, and 6 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Three Peaks Capital Management offer?
Three Peaks Capital Management provides 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
How much does Three Peaks Capital Management charge?
Three Peaks Capital Management charges up to 1.50% a year for its Advisory fee. The fee is billed in arrears and is negotiable.
Which custodians does Three Peaks Capital Management use?
Three Peaks Capital Management’s separately managed account assets are held at Bok Financial (Denver, CO), with $134M, First National Bank (Greeley, CO), with $25.7M and Central Pacific Bank (Honolulu, HI), with $23M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Three Peaks Capital Management have?
Three Peaks Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 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 Three Peaks Capital Management invest in?
At the end of its last fiscal year, Three Peaks Capital Management’s separately managed accounts held 40% investment grade corporate bonds, 34% high-yield corporate bonds, 20% U.S. government and agency bonds, 4% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Three Peaks Capital Management?
Three Peaks Capital Management’s direct owner is Sandy Rufenacht (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Three Peaks Capital Management get paid?
Three Peaks Capital Management 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
How do I contact Three Peaks Capital Management?
Three Peaks Capital Management’s main office is at 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109. Its phone number is 303-221-9480. Its website is threepeaks.com.
