Peak Financial Management Inc
- Regulatory AUM
- $534M
- Discretionary
- $534M
- Clients
- 353
- Avg AUM / client
- $1.5M
- Accounts
- 1,696
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 192 | $67.3M | 12.6% |
| High net worth individuals | 161 | $462M | 86.4% |
| Pension and profit sharing plans | Fewer than 5 clients | $5.6M | 1.05% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Pran Nath Tiku | President | CFP Chartered Financial Consultant | Aug 1991 (35y) | 75% or more |
| Neel K. Tiku | Senior Relationship Advisor | May 2012 (14y) | 10% – 25% | |
| Christopher Karl Gaffney | Vice President And Senior Wealth Advisor | CFP | Aug 2014 (12y) | Less than 5% |
| Shaun Patrick Thompson | Senior Wealth Advisor And Chief Compliance Officer | CFP CFA | Nov 2017 (9y) | Less than 5% |
| Jeffrey Charles Smith | Registered representative | CFA | Sep 2014 (12y) | |
| Robert Stephen Roselli | Registered representative | CFP | Jul 2019 (7y) | |
| Roberto Mario Pandolfi | Registered representative | CFP | Feb 2020 (6y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/12/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $354M (66% of AUM) Jun 2026
- Fidelity Brokerage Services $155M (29% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 12, 2026.
View current Form ADV (SEC/IAPD) ↗