Peak Capital Management, Llc
- Regulatory AUM
- $165M
- Discretionary
- $96.6M
- Clients
- 110
- Avg AUM / client
- $1.5M
- Accounts
- 289
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 73 | $26.9M | 16.3% |
| High net worth individuals | 30 | $127M | 76.9% |
| Pension and profit sharing plans | 2 | $3.6M | 2.15% |
| Corporations and other businesses | 5 | $7.7M | 4.66% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian David Lockhart | Chief Executive Officer, Chief Investment Officer | Jun 2006 (20y) | 10% – 25% | |
| David Morris Shepherd | President | Feb 2020 (7y) | ≈ 14.06% – 50% via Frog Holdings, Inc. | |
| Dodge, Bayard, Nmn | Chief Compliance Officer | Mar 2023 (3y) | Less than 5% | |
| Clint Evan Pekrul | Registered representative | CFA | Jun 2016 (10y) | |
| Quinlan Joseph Vande Koppel | Registered representative | Jan 2020 (7y) | ||
| John Henry Geringer | Registered representative | Jan 2025 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Shepherd Kaplan Krochuk, Llc | Managing Member | Feb 2020 | A | 75% or more |
| Frog Holdings, Inc. | Member | Feb 2020 | B | ≈ 18.75% – 50% via Shepherd Kaplan Krochuk, Llc |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Morris Shepherd: 75% – 100% of Frog Holdings, Inc. × 25% – 50% of Shepherd Kaplan Krochuk, Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Frog Holdings, Inc.: 25% – 50% of Shepherd Kaplan Krochuk, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
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) | 03/31/2026 | 1.91 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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. Status: Final Sanction Detail: N/A Summary: ACTION WAS RESOLVED
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $106M (64% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗