Fee-only adviser · Saratoga Springs, NY
Peak Wealth Management
Peak Wealth Management is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Saratoga Springs, New York. On its latest Form ADV, filed September 10, 2026, it reports $39M in regulatory assets under management, 50 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 332411 · SEC file 801-130972 |
| Office | 125 High Rock Avenue Suite 207A Saratoga Springs, NY 12866 |
| Phone | (518) 363-7998 |
| Website | www.peakwealthmgmt.com |
| Regulatory assets under management | $39M |
| Individual clients | 50 non-high-net-worth, 0 high-net-worth |
| Financial planning clients | 26-50 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | September 10, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It provides financial planning services, not only portfolio management.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Saratoga Springs
- Minichmacgregor Wealth Management, LLC $723M
- King Wealth Management Group, LLC $1.1B
- Continuum Wealth Advisors, LLC $346M
- Crescent Hill Partners LLC $299M
- McNeill Capital, LLC $41M
- Saratoga Investment Solutions Inc. $49M
See all 9 fee-only advisers in Saratoga Springs →
Nearby
- Ballston Spa 1 firm
- Malta 2 firms
- Clifton Park 3 firms
- Glens Falls 1 firm
- Cambridge 3 firms
- Glenville 1 firm
- Schenectady 2 firms
- Latham 3 firms
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