Peak Capital Management, LLC

Peak Capital Management LLC, established in June 2007, is a registered investment advisor specializing in managing risk through absolute return investment strategies. Acquired by Shepherd Kaplan Krochuk, LLC in February 2020, PCM's services include tailored investment management based on clients' risk profiles and financial goals. PCM offers diversified portfolios, sub-advisory services, and financial planning, with a minimum investment of $500,000. Fees are based on assets under management, ranging from 0.6% to 1%, subject to negotiation. PCM does not participate in wrap fee programs and managed client assets totaling approximately $148.5 million as of December 31, 2024. The firm does not charge performance-based fees and acts as a fiduciary. PCM discloses potential conflicts of interest related to its affiliation with SKK and other financial industry activities. Clients' accounts are reviewed regularly, and PCM does not vote proxies on behalf of clients. The firm does not have custody of client assets and recommends qualified custodians for client accounts. PCM does not receive additional economic benefits except for promoter fees paid to registered broker-dealers. Clients are responsible for voting proxies for securities in their portfolios.