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Brian D. Lockhart
PEAK CAPITAL MANAGEMENT
Greenwood Village, CO 80112
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CRD#: 2508255
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Professional summary
Brian David Lockhart is a registered financial advisor currently at PEAK CAPITAL MANAGEMENT, LLC located in Greenwood Village, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 5 firms and has passed the Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Through his ownership through Peak Capital Management, LLC, Mr. Lockhart is an indirect owner of PCM Tax Lien Fund, LP, a private fund that invests in tax liens. Peak Capital Management, LLC serves as general partner and investment manager of PCM Tax Lien Fund, LP and is no longer open to new investors. This relationship began on March 1, 2015. Mr. Lockhart spends approx. 10 hours per month, during securities trading hours, devoted to duties related to PCM Tax Lien Fund, LP.
Clinton/Costilla LLC; Limited Partner; 9250 E. Costilla Ave., Greenwood Village, Colorado 80112, 01/2017-Present; Real estate/Non-investment related activity; less than 2% of time, 0 during securities trading hours.
Newdea, not investment related Address: Greenwood Village, CO, Nature: economic development in developing world
Position- Director (unpaid) Start date: 2018 Hours: less then 3 hours per month Duties: strategic leadership, no specific role
NanoDX, Inc. not investment related Address: Southborough, MA, Nature: medical devices Position- Board Member (unpaid) Start date: 2021 Hours: less then 3 hours per month Duties: strategic leadership, no specific role
CRS (Client Relationship Summary) - RIA
Click below to view Brian David Lockhart's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 18, 2007 - Present
PEAK CAPITAL MANAGEMENT, LLC
Office #1: 9250 East Costilla Avenue Suite 430, Greenwood Village, CO 80112RIA
CRD#: 141488
Greenwood Village, CO
Past
March 28, 2005 - June 15, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
COLORADO SPRINGS, CO
Past
January 3, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
COLORADO SPRINGS, CO
Past
January 3, 2005 - July 20, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
COLORADO SPRINGS, CO
Past
September 12, 1997 - January 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
COLORADO SPRINGS, CO
Past
July 6, 1994 - January 7, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 6, 1994 - January 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PEAK CAPITAL MANAGEMENT, LLC
PEAK CAPITAL MANAGEMENT, LLC
CRD#: 141488 / SEC#: 801-69009
RIA
Registered Investment Advisory firm - (4/9/2008 Approved)Colorado
Registered Investment Advisory firm - (4/16/2008 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/20/2017)
IAR
Colorado(1/18/2007)
IAR
New Mexico(6/21/2017)
IAR
Texas(4/9/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PC
PEAK CAPITAL MANAGEMENT, LLC
PEAK CAPITAL MANAGEMENT, LLC
CRD#: 141488 / SEC#: 801-69009
RIA
Registered Investment Advisory firm - (4/9/2008 Approved)Colorado
Registered Investment Advisory firm - (4/16/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9250 East Costilla Avenue Suite 110, Greenwood Village, CO 80112
Mailing Address
Phone number
(720) 361-4016
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 310 |
| AUM (Assets Under Management) | $ 148,494,660 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
