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Asset manager · Tampa, FL

Peakshares LLC

SEC-registered investment adviser · CRD 329193 · SEC 801-129548

At a glance

Peakshares LLC is an SEC-registered investment adviser based in Tampa, Florida, with $110 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2,306th of 3,218 asset managers and 15,112th of 17,210 SEC-registered advisers by assets.

Main office 877-577-3257peaksharesfunds.comAs filed on Form ADV

Regulatory AUM
$110M
Rank among asset managers
#2,306 of 3,218
Rank among all SEC RIAs
#15,112 of 17,210
Rank in Florida
#960 of 1,090
Clients
2
Accounts
2
Discretionary
100% of AUM
Employees
4
Advisory staff
3
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Peakshares LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Peakshares LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Calton & Associates, Inc..

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Investment companies2$110M100%

Disciplinary disclosures

Peakshares LLC answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for investment companies

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗peaksharesfunds.com ↗

AtlasMembers

The full record on Peakshares LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 2 years of filings
Locked
Growth over one, three and five years
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Rank against 579 peers of its type and size
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Owners and executives, with titles and stakes
4 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
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Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Peakshares LLC manage?

Peakshares LLC reports $110 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.

What kind of firm is Peakshares LLC?

Peakshares LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Who are Peakshares LLC’s clients?

By assets, its largest client types are investment companies ($110 million, 2 clients).

Does Peakshares LLC have any disciplinary history?

Peakshares LLC answers yes to 8 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Peakshares LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →