Peak6 Advisory Services

Registered investment adviser · New York, NY · CRD #343264

Form ADV data as of 2026-11-01

Regulatory assets

Total accounts

Employees

Disclosure events

Firm details

Website: https://peak6.com/
Telephone: 312 444 8000
SEC file number: 801-137283
Most recent Form ADV filing: 2026-10-07
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
A self-regulatory organization found a violation of its rules
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

Assets and accounts

Provides continuous and regular supervisory or management services	No
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$0
Discretionary accounts	0
Non-discretionary accounts	0
Total accounts	0

People

Total employees (excluding clerical)	14
Employees performing investment advisory functions (including research)	7
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	No
Client funds and securities held in the firm's custody	$0
Clients for whom the firm has custody	0
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementPerformance-based feesOther

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends securities in which it has another proprietary interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals