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Brian Lockhart

Peak Capital Management, LLC
32 Years of Experience
Greenwood Village, CO
1 Disclosure
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Brian Lockhart is a registered investment advisor at Peak Capital Management, LLC, based in Greenwood Village, CO, with 32 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 110 clients with $170M in assets under management.

Peak Capital Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
110 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$165.2M

Fee Structure

Minimum Investment:$500K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Annualized fees generally range from 0.60% to 1.00% based on the value of your portfolio and other considerations. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9250 East Costilla Avenue, Suite 430, Greenwood Village, CO, 80112

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2018
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian is an indirect owner of PCM Tax Lien Fund, LP, dedicating a few hours per week to related duties. He is also a limited partner in Clinton/Costilla LLC, involved in real estate, and a director and board member for Newdea and NanoDX, respectively, spending minimal time on these roles.

Employment History
Current Registrations
Peak Capital Management, LLC
January 2007 - Present · 19 yrs 9 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
March 2005 - June 2007 · 2 yrs 3 mos
Cambridge Investment Research, INC.Broker
January 2005 - July 2012 · 7 yrs 6 mos
Cambridge Investment Reserarch, INC.
January 2005 - March 2005 · 2 mos
American Express Financial Advisors, INC.
September 1997 - January 2005 · 7 yrs 4 mos
American Express Financial Advisors INC.Broker
July 1994 - January 2005 · 10 yrs 6 mos
Ids Life Insurance CompanyBroker
July 1994 - January 2005 · 10 yrs 6 mos
State Registrations4 states
CACONMTX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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