PEAK CAPITAL MANAGEMENT, LLC of GREENWOOD VILLAGE, CO is an SEC-registered investment adviser (CRD 141488). Regulatory assets under management: $165.2M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| David Morris Shepherd | PRESIDENT | — |
| Bayard Nmn Dodge | CHIEF COMPLIANCE OFFICER | — |
| Brian David Lockhart | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | — |
| SHEPHERD DAVID MORRIS | PRESIDENT | — |
| ARRASMITH SCOTT ERWIN | CHIEF COMPLIANCE OFFICER/OWNER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/OWNER; MEMBER/CHIEF COMPLIANCE OFFICER/OWNER | — |
| LOCKHART BRIAN DAVID | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER/OWNER; MANAGING MEMBER AND CHIEF INVESTMENT OFFICER (+3 more) | — |
| ELIASON GEOFFRY SEAN | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER; CHIEF OPERATIONS OFFICER; MANAGING MEMBER AND CHIEF OPERATING OFFICER (+4 more) | — |
| Schrad Angela Jane | CHIEF COMPLIANCE OFFICER | — |
| PEKRUL CLINT EVAN | DIRECTOR OF RESEARCH | — |
| KAMEN LORI BETH | CHIEF COMPLIANCE OFFICER | — |
| DILORENZO PETER JOHN | CHIEF COMPLIANCE OFFICER, CHIEF INFORMATION SECURITY OFFICER; CHIEF INFORMATION SECURITY OFFICER | — |
| PERRY JONATHAN THOMAS | CHIEF FINANCIAL OFFICER | — |
| DODGE BAYARD | CHIEF COMPLIANCE OFFICER | — |
| DODGE BAYARD NMN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | FAILURE TO DISCLOSE, IN WRITING, A MATERIAL CONFLICT OF INTEREST RELATING TO OUTSIDE BUSINESS ACTIVITIES IN CONNECTION WITH THE ADVISORY AFFILIATE'S INVOLVEMENT IN THE PRODUCTION OF A FILM. | Final | — |