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PELTOMA CAPITAL PARTNERS

· CRD 325138 · IAPD ↗ · 937-416-5966

$211.2MRegulatory AUM
3Advisory reps
3Employees
0Clients
51-100Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
August 2026 — PELTOMA CAPITAL PARTNERS reported RAUM up 25% ($168.9M -> $211.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
June 2026 — PELTOMA CAPITAL PARTNERS notice-filed in NC, OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2026 — PELTOMA CAPITAL PARTNERS reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2026 — PELTOMA CAPITAL PARTNERS now reports custody of client assets ($141.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
66
April 2026 — PELTOMA CAPITAL PARTNERS reported RAUM up 55% ($108.8M -> $168.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
95
April 2025 — PELTOMA CAPITAL PARTNERS (location n/a) is newly SEC-registered with $108.8M RAUM and 2 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.