PEAK INVESTMENT ADVISORS, INC. of COLORADO SPRINGS, CO is an SEC-registered investment adviser (CRD 113967). Regulatory assets under management: $234.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Richard Allan Mueller | CEO, CCO, CFO, COO, CLO | — |
| Lisa Anne Mueller | OWNER | — |
| MUELLER RICHARD ALLAN | CEO, CCO, CFO, COO, CLO | — |
| MUELLER LISA ANNE | OWNER | — |
| MUELLER RICHARD | PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-11-21 | regulatory | FIRM FAILED TO TIMELY FILE THE FIRM'S ANNUAL UPDATING AMENDMENT AND DID NOT FILE AN UPDATED FORM ADV PART 2 BROCHURE. FIRM FAILED TO PROVIDE CLIENTS WITH THE FORM ADV PART 2 BROCHURE. FIRM DID NOT MAINTAIN REQUIRED WRITTEN SUPERVISORY PROCEDURES AND OPERATED A POOLED INVESTMENT VEHICLE WITHOUT A SEC… | Final | — |