Adam R. Oates

PEAK PLANNING GROUP

RALEIGH, NC 27609

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CRD#: 7191988

Professional summary

Adam Ryan Oates, who also goes by Adam Oates, is a registered financial advisor currently at PEAK PLANNING GROUP, LLC located in Raleigh, North Carolina.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Adam has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Oates

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 Adam Ryan Oates'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

March 10, 2026 - Present

PEAK PLANNING GROUP, LLC

Office #1: 210 W Millbrook Road, Raleigh, NC 27609

RIA

CRD#: 289891

RALEIGH, NC

Past

May 14, 2025 - August 25, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Raleigh, NC

Past

May 7, 2025 - August 25, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Raleigh, NC

Past

August 31, 2021 - November 4, 2024

ARCHER INVESTMENT CORPORATION

RIA

CRD#: 136403

Greensboro, NC

Past

March 16, 2020 - August 26, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RALEIGH, NC

Past

December 10, 2019 - August 26, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

RALEIGH, NC

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

North Carolina
(3/10/2026)

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 66

Date: 3/11/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/7/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/16/2019

Securities Industry Essentials 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)

PREMIUM

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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 (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND WRAP FEE BROCHURE (3/16/2026)

Regulatory assets under management

Total Number of Accounts	2,363
AUM (Assets Under Management)	$ 709,995,204

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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Advisor Monitoring

Firm Stability Insights

Adam R. Oates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Ryan Oates's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK PLANNING GROUP, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

ARCHER INVESTMENT CORPORATION

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PEAK PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2020

Series 7TO

Date: 5/7/2025

SIE

Date: 10/16/2019

Current Firm

PEAK PLANNING GROUP, LLC

Contact information

SEC notice filing (19 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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