Northpeak Financial, Inc.
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 142970
· Frederick, MD
· www.northpeakfinancial.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $66.8M
- Discretionary
- $65.7M
- Clients
- 162
- Avg AUM / client
- $412K
- Accounts
- 329
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 142 | $35.9M | 53.8% |
| High net worth individuals | 20 | $30.8M | 46.2% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jason Charles Cox | Registered representative | Jan 2022 (5y) | ||
| Christopher Rhoads | Registered representative | Jan 2022 (5y) |
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 | 1.01 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $21.5M (32% of AUM) Mar 2026
- Truist Financial Corp $9.1M (14% of AUM) Mar 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: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗