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Peak6 Advisory Services registers with the SEC under the 120-day rule (New York, NY)
New SEC adviser (120-day rule) · CRD 343264 · 801-137283 · effective 2026-10-19
Effective 2026-10-19. 14 employees (7 advisory). Affiliated with a broker-dealer. Notice-filed in IL, NY. Limited Liability Company (DE).
120-day rule (must reach $100M RAUM)Broker-dealer affiliate10+ employeesHas custodyPerformance fees
Contact (from the filing)
The main-office phone, website and address from Form ADV are shown to subscribers. See plans, or open the firm on IAPD.
Who this is for
- Compliance consulting
- RIA software (CRM, portfolio, billing)
- Recruiting & RIA platforms
- Custodian / clearing
- Archiving & surveillance
- Cybersecurity / managed IT
- E&O insurance