High Peaks Wealth Strategies
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$500,000
Clients
5
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
LowAverage account size
$100,000
About
High Peaks Wealth Strategies provides discretionary investment management, limited‑scope ERISA 3(21) retirement‑plan consulting, and tiered ongoing financial planning to individuals, high‑net‑worth clients, and business entities. The firm’s brochure shows it currently manages roughly $500,000 on behalf of five clients and documents goals and restrictions in client profile forms or investment policy statements.
Investment programs use stocks, bonds, ETFs and no‑load mutual funds and draw on fundamental, technical, charting and cyclical analysis; accounts are reviewed at least quarterly and the firm operates with discretionary authority to implement portfolios. The firm may engage Sub‑Advisors on the Betterment Securities platform to manage all or portions of client assets while retaining the client relationship and oversight responsibilities.
What distinguishes the firm from many independent peers is an affiliated insurance practice—licensed insurance activity occupies a disclosed portion of the owner’s time and the firm sells insurance products, a fact it identifies as a potential conflict of interest. The firm also emphasizes pension consulting through ERISA 3(21) services (a relatively uncommon offering among independents), requires use of Betterment Securities as custodian/Sub‑advisor conduit, and structures ongoing planning tiers that include a level targeted at higher‑income or high‑net‑worth households.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Debt management
Cash flow / budgeting
Retirement plans for business owners (SEP, solo 401k)
Wealth management
Fee options
$0 - $100,000: 0.75% $100,001 - $500,000: 0.70% $500,001 - $1,000,000: 0.60% $1,000,001+: 0.50%
Insurance products sales generate commissions to advisor representatives.
Fee-only: Ongoing financial planning service fees: Tier 1 - $39/month; Tier 2 - $69/month; Tier 3 - $99/month
Main office location
High Peaks Wealth Strategies
Parker CO, United States
Number of offices
1
Most active in
High Peaks Wealth Strategies has reported serving >5 clients in these states in the last 12 months.
Colorado
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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