Peak6 Capital Management LLC

Broker-DealerFINRA MemberEst. 1997
Total AUM
Advisory reps
132
Avg account
$0

Firm details

Headquarters
Chicago, Illinois
CRD number
43773
Registered since
September 3, 1997

Firm profile

FINTRX

Overview

Peak6 Capital Management LLC is an investment manager organized as a limited liability company and registered with the SEC since 1997. Public filings portray the firm as an equity-focused manager rather than a traditional retail RIA: its reported positions are concentrated in publicly traded stocks and ETFs, and the firm is not identified as an active ESG investor. Registry metadata classifies the firm as unclassified and indicates domestic ownership; several adviser/consultant designations (multi-state adviser, pension consultant, related adviser) are marked negative in the available snapshot. The firm’s public footprint centers on securities holdings rather than published client-facing product descriptions or fee schedules. That pattern — substantial reported 13F positions with limited disclosure of client account structure in the source — suggests the firm’s visible activity is driven by institutional trading and portfolio management captured by regulatory filings.

Public Holdings

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 6
  • Clay Johnson

    Clay Johnson

    Chief Technology OfficerCRD 7258402

  • Robert Tourney

    Robert Tourney

    Chief Compliance OfficerCRD 6251742

  • Thomas Simpson

    Thomas Simpson

    Chief Executive OfficerCRD 5875785

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Contacts

3 of 126
  • Jiazhen Liu

    Trading AssociateCRD 7296876

  • Yingdan Guo

    Trading AssociateCRD 6981293

  • Genevieve Soltesz

    TraderCRD 7296825

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 30

Active vs passive

$81.5M in ETFs

Passive

100%

$81.4M

Active

<1%

$81.5K

ETFProviderStyleCategoryValueShares% of portfolio
KRANESHARES CSI CHINA INTERNET ETF (KWEB)KraneSharesPassiveChina Region$23.5M690,86528.84%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
141 W Jackson Blvd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth