Peak Financial Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$109,162,415
Clients
154
Advisors
2
of 4 employees
About
Peak Financial Management provides financial planning, investment management, and retirement-plan advisory services to individuals, trusts, estates, charitable organizations, corporations and business entities, and employers/plan sponsors. The firm manages approximately $109 million in client assets and offers coordinated written advisory agreements that cover discretionary portfolio management, financial planning, and ERISA retirement plan services.
PFM’s client engagements are organized around its “Start to Finish Planning Program,” which phases consulting, coaching and investment management work together, and it uses fundamental analysis and an asset-allocation approach derived from Modern Portfolio Theory. Portfolios are typically constructed with mutual funds, ETFs, individual equities and fixed income, and the firm may engage Independent Managers, advise on held-away products (including variable life and annuity contracts), and exercise limited discretionary trading authority for clients.
What is noteworthy in the brochure is the emphasis on institutional and intermediary relationships atypical for a firm of this size: PFM expressly provides ERISA Section 3(38) fiduciary services to employers and plan sponsors and documents assistance with Plan Investment Policy Statements, selection and monitoring of plan investments. The firm also describes working with Independent Managers, using a third‑party platform to manage held‑away defined contribution participant accounts without taking custody, and receiving third‑party support for proxy voting determinations.
Client services
Expertise
Occupation focus
Fee options
Consulting Services fees up to $30,000; Coaching Services $1,500 per year; Retirement Plan one-time consultation fee $1,000.
$0 - $1,000,000: 1.0% $1,000,001+: 0.5%
Account minimum: $50,000 minimum portfolio size for Investment Management Services (may be waived by PFM); other minimum fees or conditions apply for various services as detailed below. Minimum fee: Minimum fees or portfolio sizes vary by service phase, e.g., $500 minimum fee for Coaching Services, $500 minimum fee or $50,000 minimum portfolio for Essential Services, $1,500 minimum fee or $100,000 minimum portfolio for Comprehensive Services. Fee-only: Fixed fees for Consulting Services up to $30,000; Coaching Services $1,500 annually; Financial Planning Services fees of $3,000, $6,000 or $9,000 annually depending on complexity.
Main office
10901 W. 120th Avenue, Suite 135
Broomfield CO 80021
Advisors at this office
2
Most active in
California · Colorado · Texas
Also doing business as
Aiguille Financial Advisors, Inc. · Peak Financial Management, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Ty J
CFP®, Series 65
Broomfield, CO
Peak Financial Management, Inc.
Ty Johnson is a CERTIFIED FINANCIAL PLANNER™ professional with five years of industry experience. He has been with Peak Financial Management, Inc. since 2020 and previously worked at Modern Wingman LLC and Colorado Christian University. Peak Financial Management provides financial planning, investment management, and retirement-plan advisory services to a diverse client base including individuals, trusts, estates, charitable organizations, corporations, and plan sponsors. The firm manages approximately $109 million in assets and integrates consulting, coaching, and investment management through its “Start to Finish Planning Program,” employing a fundamental analysis and asset-allocation approach based on Modern Portfolio Theory.
Nicholas W
CFP®, Series 65
Broomfield, CO
Peak Financial Management, Inc.
Nicholas Wolverton is a CFP® and Series 65-licensed advisor with 10 years of industry experience. He has been with Peak Financial Management, Inc. since 2015. Peak Financial Management provides financial planning, investment management, and retirement-plan advisory services to individuals, trusts, estates, charitable organizations, corporations, and plan sponsors. The firm uses a phased planning approach combining consulting, coaching, and investment management, employing fundamental analysis and Modern Portfolio Theory to construct portfolios typically consisting of mutual funds, ETFs, individual equities, and fixed income.
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