Roberto M. Pandolfi
PEAK FINANCIAL MANAGEMENT
WALTHAM, MA
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CRD#: 7200273
Professional summary
Roberto Mario Pandolfi, CFP® is a registered financial advisor currently at PEAK FINANCIAL MANAGEMENT INC located in Waltham, Massachusetts.
Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Roberto has worked at 1 firm and has passed the Series 65 exam.
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.
(1.) NAME OF OBA: NOTARY PUBLIC; ADDRESS OF OBA: WALTHAM, MA 02452; NATURE: NOTARY PUBLIC COMMONWEALTH OF MA; INVESTMENT RELATED: NO; TITLE WITH OBA: NOTARY PUBLIC; DUTIES: NOTARY PUBLIC; START DATE: 08/01/2016; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1; (2.) NAME OF OBA: MASSACHUSETTS REAL ESTATE SALESPERSON; ADDRESS OF OBA: WALTHAM, MA 02452; NATURE: REAL ESTATE SALES (INACTIVE); INVESTMENT RELATED: NO; TITLE WITH OBA: SALESPERSON; DUTIES: REAL ESTATE SALES (INACTIVE); START DATE: 02/01/2016; APPROX. NUMBER OF HOURS/MONTH: 0; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Mario Pandolfi'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®
CFP®
Start date: 2021
Experience
Current
February 11, 2020 - Present
PEAK FINANCIAL MANAGEMENT INC
Office #2: 93 Worcester Street Suite 101, Wellesley, MA 02481RIA
CRD#: 110559
WALTHAM, MA
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".
PF
PEAK FINANCIAL MANAGEMENT INC
PEAK FINANCIAL MANAGEMENT INC
CRD#: 110559 / SEC#: 801-39737
RIA
Registered Investment Advisory firm - (8/30/1991 Approved)Florida
Registered Investment Advisory firm - (1/22/2003 Terminated)Massachusetts
Registered Investment Advisory firm - (2/11/2003 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
Massachusetts(2/11/2020)
IAR
Texas(11/9/2020)
Current Firm
PF
PEAK FINANCIAL MANAGEMENT INC
PEAK FINANCIAL MANAGEMENT INC
CRD#: 110559 / SEC#: 801-39737
RIA
Registered Investment Advisory firm - (8/30/1991 Approved)Florida
Registered Investment Advisory firm - (1/22/2003 Terminated)Massachusetts
Registered Investment Advisory firm - (2/11/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
93 Worcester Street Suite 101, Wellesley, MA 02481
Mailing Address
Phone number
(781) 487-9500
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,535 |
| AUM (Assets Under Management) | $ 452,743,722 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 09/20/2024 | ||
| 03/21/2024 | ||
| 03/25/2023 |
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.
