Three Peaks Capital Management, LLC (Castle Rock)

Name: Three Peaks Capital Management, LLC
Address: 3750 Dacoro Lane, Castle Rock, CO, 80109
Telephone: 303-221-9480

Three Peaks Capital Management, LLC is a large advisory firm based in Castle Rock. It manages $718.8 million of regulatory assets for 45 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Colorado, Hawaii, and Pennsylvania.

Three Peaks Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Three Peaks Capital Management: assets under management

The assets under management (AUM) of Three Peaks Capital Management, LLC is $718.8 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 413% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $718.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $15.97 million each.

Investments

The firm invests in exchange traded securities the most. They account for 45% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 44% of the firm’s portfolio. Investments in cash and cash equivalents form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Three Peaks Capital Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Three Peaks Capital Management serves?

The firm provides services to investment companies, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Three Peaks Capital Management is investment companies with 2 clients and $463.79 million of assets under management. Among the 9 most similar advisory firms, Three Peaks Capital Management has the 3rd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $709.19 million for 42 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Three Peaks Capital Management doesn't advise any private funds.

Careers at Three Peaks Capital Management, LLC

The company employs 8 people that are either part- or full-time employees. 63 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Glenn Paul O'flaherty	Manager, member, chief financial officer	1 May 2003	Other	1663645
Sandy Ray Rufenacht	Managing member, chief executive officer, chief investment officer	1 Jun 2003	75% - 100%	1834195
Mary Kathleen Cooper	Chief compliance officer	1 Aug 2005	Other	2406194
Sandy Ray Rufenacht	Chief compliance officer	1 Mar 2007	75% - 100%	1834195
Kimberly Lynn Collins	Chief compliance officer	1 May 2007	Other	1952612
Andrew Lee Bauman	Chief operations officer	1 Jan 2012	Other	6030928

Based in Castle Rock

The principal office where Three Peaks Capital Management, LLC performs its advisory services is located at 3750 Dacoro Lane, Castle Rock, CO 80109, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-221-9480 or by fax 303-221-4065. The normal business hours are 8:00 a.m.- 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at threepeaks.com.