David L. Hall

PEAK PLANNING GROUP

Hilo, HI 96720

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CRD#: 3029826

Professional summary

David Lee Hall is a registered financial advisor currently at PEAK PLANNING GROUP, LLC located in Hilo, Hawaii.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Hall's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 19, 2021 - Present

PEAK PLANNING GROUP, LLC

Office #1: 1036 Kilauea Ave, Hilo, HI 96720

RIA

CRD#: 289891

Hilo, HI

Past

August 26, 1998 - March 18, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HILO, HI

Past

August 21, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 21, 1998 - March 18, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HILO, HI

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".

PEAK PLANNING GROUP, LLC

CRD#: 289891 / SEC#: 801-111771

RIA

Registered Investment Advisory firm - (9/29/2017 Approved)

California

Registered Investment Advisory firm - (10/11/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Hawaii
(8/19/2021)

IAR

Texas
(1/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/1998

General Securities Representative Examination

Current Firm

PEAK PLANNING GROUP, LLC

CRD#: 289891 / SEC#: 801-111771

RIA

Registered Investment Advisory firm - (9/29/2017 Approved)

California

Registered Investment Advisory firm - (10/11/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/11/2018 Terminated)

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Contact information

Main Address

5975 South Quebec Street Suite 310, Centennial, CO 80111

Mailing Address

Phone number

(303) 991-0056

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK PLANNING GROUP, LLC ADV PART 2A BROCHURE (4/7/2025)

WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,086
AUM (Assets Under Management)	$ 650,935,386

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.

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Firm Stability Insights

David L. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Hall's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PEAK PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1998

Series 63

Date: 4/15/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/5/1998

Current Firm

PEAK PLANNING GROUP, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK PLANNING GROUP, LLC

TRUST BUT VERIFY

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