Peak Wealth Planning, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Peak Wealth Planning, LLC provides annual-retainer financial planning, discretionary investment management, workplace retirement-account advice, and combined wealth-management services to individuals (including high-net-worth clients), trusts, foundations, and certain corporations. The firm manages approximately $66.1 million in discretionary assets across about 30 client relationships and also offers implementation support such as due diligence on alternative investments and employee financial-wellness presentations.
The firm emphasizes asset-allocation-driven portfolios using a mix of low-cost mutual funds and ETFs, combining index and active strategies with a long-term buy-and-hold posture and periodic rebalancing; in some client situations it may recommend private funds, alternative strategies, or use of securities-backed lines of credit. Peak Wealth provides discretionary management and may recommend sub-advisers, uses custodial platforms (including a third-party advisory platform and a major institutional custodian), and discloses its use of AI tools and related risks as part of its service processes.
Notably, the firm is also a licensed insurance broker/agent and discloses that insurance sales are conducted separately from its advisory fees, creating a conflict of interest that it addresses in its disclosures and client communications. With a small advisory team managing a relatively large asset base per client, the firm also highlights tailored offerings such as ESOP-focused wealth management and has documented succession and continuity arrangements.
Client services
Expertise
Occupation focus
Fee options
$0 - $7,500,000: 1.00% $7,500,001 - $15,000,000: 0.75% $15,000,001 - $20,000,000: 0.50% $20,000,001+: 0.25%
Commissions earned on insurance products sold by Mr. Newman, separate from advisory fees
Other services charged at $300 per hour or negotiable asset-based fee
Financial Planning services charged as annual retainer fees from $4,000 to $24,000
Account minimum: $500,000 Minimum fee: Financial Planning annual fees range from $4,000 to $24,000 depending on complexity Fee-only: Fee-only advisory fees for financial planning, investment management, and wealth management; no commissions except for insurance products
Main office
4311 North Ravenswood Ave, Suite 217
Chicago IL 60613
Advisors at this office
2
Most active in
Illinois
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Forms ADV
Quick links
Advisors at this firm
Peter N
CFA®
Chicago, IL
Peak Wealth Planning, LLC
Peter Newman Jr. is a CFA® charterholder with 12 years of experience in the financial advisory industry. He has been with Peak Wealth Planning, LLC since 2014 and previously worked at the University of Illinois for 27 years. Peak Wealth Planning is a small, supported advisory firm serving individual, high-net-worth, trust, and select institutional clients. The firm employs an asset-allocation driven investment approach using low-cost mutual funds and ETFs, and provides financial planning, discretionary investment management, and due diligence on alternative investments.
Nathan G
CFP®, Series 65
Chicago, IL
Peak Wealth Planning, LLC
Nathan Gale is a CFP® and holds a Series 65 license with four years of industry experience. He is the founder and investment advisor representative of Fleur-De-Lis Financial and has prior experience with WellAcre Global Wealth Advisors and Peak Wealth Planning, LLC. Outside of financial advising, he is a partner and CFO of WanderWren, an apparel retailer. Fleur-De-Lis Financial serves individual clients, including high-net-worth individuals, as well as pension plans, charitable organizations, and corporate plan sponsors. The firm offers fee-only investment management and financial planning, employing both passive and active strategies, and incorporates borrowing and margin use in its portfolio management.
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