James R. Pilat

PEAK WEALTH MANAGEMENT

Plymouth, MI 48170

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CRD#: 6265955

Professional summary

James Ronald Pilat, AIF®, CFP®, who also goes by Jim Pilat, is a registered financial advisor currently at PEAK WEALTH MANAGEMENT, LLC located in Plymouth, Michigan and MUTUAL SECURITIES, INC. located in Plymouth, Michigan.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Pilat

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 James Ronald Pilat'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

August 10, 2018 - Present

PEAK WEALTH MANAGEMENT, LLC

Office #1: 41011 Ann Arbor Road, Plymouth, MI 48170

RIA

CRD#: 166944

Plymouth, MI

Current

April 23, 2019 - Present

MUTUAL SECURITIES, INC.

Office #1: 41011 Ann Arbor Rd, Plymouth, MI 48170

CRD#: 13092

Plymouth, MI

Past

August 10, 2018 - April 23, 2019

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Plymouth, MI

Past

January 31, 2017 - August 21, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

LIVONIA, MI

Past

January 31, 2017 - August 21, 2018

LPL FINANCIAL LLC

CRD#: 6413

LIVONIA, MI

Past

April 8, 2014 - February 7, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

TROY, MI

Past

February 15, 2014 - February 7, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

TROY, MI

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 WEALTH MANAGEMENT, LLC

CRD#: 166944 / SEC#: 801-114800

RIA

Registered Investment Advisory firm - (3/8/2019 Approved)

Florida

Registered Investment Advisory firm - (8/6/2019 Terminated)

Michigan

Registered Investment Advisory firm - (8/7/2019 Terminated)

Ohio

Registered Investment Advisory firm - (8/7/2019 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Michigan
(8/10/2018)

Michigan
(4/23/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/2/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PEAK WEALTH MANAGEMENT, LLC

CRD#: 166944 / SEC#: 801-114800

RIA

Registered Investment Advisory firm - (3/8/2019 Approved)

Florida

Registered Investment Advisory firm - (8/6/2019 Terminated)

Michigan

Registered Investment Advisory firm - (8/7/2019 Terminated)

Ohio

Registered Investment Advisory firm - (8/7/2019 Terminated)

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Contact information

Main Address

41011 Ann Arbor Road, Plymouth, MI 48170

Mailing Address

Phone number

(734) 681-7575

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (2/25/2025)

ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,788
AUM (Assets Under Management)	$ 352,000,000

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

James R. Pilat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ronald Pilat's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK WEALTH MANAGEMENT, LLC

MUTUAL SECURITIES, INC.

REGULUS FINANCIAL GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PEAK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2014

FINRA

Current Firm

PEAK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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