CRD: 332411
Peak Wealth Management
$39.0M Total AUM
$39.0M Disc. AUM
-- 3Y CAGR
1 Employees
50 ADV. Clients
1 yrs Firm Age
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- Custodian
- Charles Schwab & Company
- Clients
- Retail
- Platforms
- --
- Established Date
- 08-22-2024
- Office Locations
- 1
Office Locations
125 High Rock Avenue Suite 104 Saratoga Springs NY
About Peak Wealth Management
Peak Wealth Management is an SEC-registered RIA based in Saratoga Springs, NY, providing fee-based financial planning and investment advisory services. The firm uses a values-first process—goal setting, plan design, implementation, and ongoing review—with in-person or remote meetings. Portfolios emphasize asset allocation and risk management using ETFs and mutual funds, and the firm custodies with Charles Schwab.
Team overview
-- AVG AGE
$39.0M AVG AUM / ADVISOR
$779.2K AVG AUM / CLIENT
1.9 yrs AVG TENURE
1 Employees
1 Advisory Reps
1 RIA Reps
1yrs Firm Age
Insights
Available
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Asset Classes
Available
Custodian
Available
Investment Themes
Available
Investment Vehicles
Available
Services
Available
Owner & Executives
James Thomas Cox
Chief Compliance Officer, FOUNDER, Vice President
- CRD
- #6174566
- Ownership
- 75% or more
Available
Available
Available
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Total AUM
Discretionary
Non-Discretionary
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $38,960,000 | $306,772 |
| Non-Discretionary | $0 | -- |
| Total | $38,960,000 | $306,772 |
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Separately Managed Accounts
Total SMA Asset: Available
Equity - Exchange:
Available Public Funds:
Available Cash:
Available | Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Public Funds | Available | Available |
| Cash | Available | Available |
| Total | Available | Available |
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