Peakshares LLC
Registered investment adviser · Tampa, FL · CRD #329193
Form ADV data as of 2026-09-01Regulatory assets
$110.0 million
Total accounts
2
Employees
4
Disclosure events
8
Firm details
- Website: https://www.peaksharesfunds.com
- Telephone: 877-577-3257
- SEC file number: 801-129548
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 8 disclosure questions answered Yes, covering 8 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 false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $110.0 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $110.0 million |
| Discretionary accounts | 2 |
| Non-discretionary accounts | 0 |
| Total accounts | 2 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 4 |
| Employees performing investment advisory functions (including research) | 3 |
| Employees who are registered representatives of a broker-dealer | 3 |
| Employees registered as investment adviser representatives with a state | 3 |
| Employees registered as IARs for another investment adviser | 2 |
| 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 | No |
| Has custody of client securities | No |
| 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 | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
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:
- Brokers or dealers selected under 8.C.(3) are related persons
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Investment companies | 2 | $110.0 million |