Who is Peak Investment Management?
Peak Investment Management Ltd. (Peak) is a Security and Exchange Commission (SEC) and Montana registered Investment Advisor. Peak is a subsidiary of ALPS Corporation, a Montana stock corporation and parent holding company. ALPS formed Peak in 1997 and Peak opened its services to the public in 1998.
Peak provides comprehensive investment management solutions to our clients; which include Corporations, Foundations, Trusts, Estates, Profit Sharing Plans and Private Clients. Peak's clients often have complex regulatory, financial planning, investment reporting, portfolio accounting and/or tax issues, and require significant individual client attention in addition to basic investment management.
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How is Peak different from other Investment Advisors?
We are a fee-based investment manager, instead of commission-based. In addition, there is never a hidden agenda in our recommendations because Peak has no binding affiliation with any bank, brokerage firm or mutual fund company. Peak is adept at investing where complicated tax structures and investment regulations exist. Our clients receive exceptional client service.
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What are the benefits of using a fee-based investment manager?
Peak is paid based on your assets under our management. The fees are negotiated in advance and we cannot earn additional profits without your consent. We have no proprietary or financial interest in any particular security or product so we can always be completely objective with regard to your investments.
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Where are my assets held?
We encourage our clients to keep their assets at TD Ameritrade. TD Ameritrade offers significant benefits to our clients. TD Ameritrade has over 6 million customer accounts and approximately $262.9 billion in client assets. Peak participates in their Institutional program, TD Ameritrade Institutional, which is a leading provider of comprehensive brokerage and custody services to more than 4,000 fee-based, independent Registered Investment Advisors (RIAs) and their clients. TD Ameritrade is a member of the Securities Investor Protection Corporation. Securities in your account protected up to $500,000. Up to an aggregate of $250 million of additional securities protection, of which $900,000 may be applied to cash, is provided by London insurers. This coverage provides you protection against brokerage insolvency and does not protect against loss in market value of the securities. For more information on TD Ameritrade, please visit their website at www.tdameritrade.com.
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What is the advantage of working with a Registered Investment Advisor versus a Stockbroker?
Registered Investment Advisors are held to a fiduciary standard when it comes to putting their clients’ interests first and doing the right thing for their clients' investments. Stockbrokers are held to suitability obligations on the part of their broker-dealer and their interests may or may not be aligned with their clients’ interests. For more information please go to: http://www.tdainstitutional.com/advisoreducation/media/FinancialAdvice.pdf.
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