Three Peaks Capital Management, LLC
Firm details
- Headquarters
- Castle Rock, Colorado
- CRD number
- 127402
- Registered since
- July 3, 2003
- Website
- www.threepeaks.com
- Custodians
- BOK FINANCIAL SECURITIES, INC., FIRST NATIONAL BANK, CENTRAL PACIFIC BANK
- Fee structure
- Percentage of AUM
- Client types
- HNWI60.49%
- Pension & Profit Sharing Plans18.28%
- Corporations / Businesses14.71%
- Individuals3.28%
- Charitable Organizations3.23%
- Services
- Portfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Three Peaks Capital Management, LLC is an institutional registered investment adviser organized as an LLC. The firm is SEC-registered, with registration dating to 2003. It is owned by an individual and serves both individual & family clients and institutional clients. Fee billing is based on a percentage of assets under management, and primary advisory services include portfolio management for individuals/small businesses as well as for businesses or institutions. The firm reports a preference for fixed-income investments and does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Investment Grade Corp Bonds40%
- Non-Investment Grade Corp Bonds34%
- US Government Bonds20%
- Exchange Traded Equities4%
- Cash & Cash Equivalents2%
Owners & executives
3 of 3
Sandy Rufenacht
Chief Investment OfficerCRD 1834195
Andrew Bauman
COOCRD 6030928
Ashley Shockley
Chief Compliance OfficerCRD 7295061
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 10Active vs passive
$24.3M in ETFs
72%
$17.5M
28%
$6.8M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| iShares iBoxx $ High Yield Corporate Bond ETF (HYG) | BlackRock | Passive | High Yield Bond | $3.6M | 40,600 | 14.59% |
Location
Castle Rock, CO
Douglas
Location
Castle Rock, CO
Headquartered in Castle Rock, CO, anchoring the Denver-Aurora, CO metro in the West.
- Metro area
- Denver-Aurora, CO
- Region
- West
- County
- Douglas
- Address
- 3750 Dacoro Ln
- Time zone
- MT (UTC-7)
- Office locations
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