21PEAKS CAPITAL MANAGEMENT, LLC

· CRD 300111 · IAPD ↗ · 833-948-6937

$618,799Regulatory AUM

5Advisory reps

6Employees

0Clients

1-10Planning clients

1Private funds

4States

0Disclosures

wealthSegment

120-Day ApprovalSEC status

Filing changes

August 2026 — 21PEAKS CAPITAL MANAGEMENT, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $618,799 RAUM, 5 reps).

Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.

Recruiting & transitionsM&A & valuation

March 2026 — 21PEAKS CAPITAL MANAGEMENT, LLC notice-filed in CO.

Notice-filed in new state(s): the firm is taking clients somewhere new.

ComplianceMarketing & brand

February 2026 — 21PEAKS CAPITAL MANAGEMENT, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $618,799 RAUM and 5 advisory reps.

Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).

CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.