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We strive to provide our clients with the highest level of service and disclosure to ensure that you make informed decisions regarding your investments. The following points are here to help increase your understanding of the various facets of engagement with Peak Brokerage Services (PBS) as a FINRA registered broker/dealer or Blackridge Asset Management (BAM) as a SEC Registered Investment Advisory Firm.

Customer Relationship Summary (Form CRS)

Regulation Best Interest (Reg BI) Disclosure


You can visit the following websites to learn more about your registered representative or investment advisor. The information provided on these sites gives you a snapshot of a broker or investment advisor representative’s employment history, regulatory actions, and investment-related licensing information, arbitration’s and complaints.

Registered Representatives of
Peak Brokerage Services
Investment Advisor Representatives of
Blackridge Asset Management

FINRA – Broker Check

SEC – Investment Adviser Public Disclosure


The fees for various investment products and managed accounts are as varied as the investments themselves. We have listed the average fees associated with the various products and investment-related strategies.

Investment Vehicle

Average Annual Operating Expense

Bonds N/A – Trading & Account Fees Only
Exchange Traded Funds Expense ratio of 0.44% to 0.74% – Trading & Account Fees will also apply
Fixed Indexed Annuity Ranges between 0.0% to 2.5% depending on elected riders
Mutual Funds Ranges from 1.0% to 3.0% – May have up front charge between
3.75% to 5.75%
Real Estate Investment Trusts 1.5% to 2.5% varies by program type and investment structure
Stocks N/A – Trading & Account Fees Only
Unit Investment Trusts N/A – Trading & Account Fees – May have a up front charge between 3.75% to 5.75%
Variable Annuity Ranges between .9% to 4% depending on elected riders

Managed accounts through Blackridge Asset Management can be in custody with Charles Schwab or Raymond James. These types of accounts may incur a platform fee, manager fee and potential trading expenses in addition to the above noted expenses. Please refer to Blackridge Asset Management’s Form ADV part 2 and to the fee sheet for your custodian.


There is a wide variety of investment products that can be utilized by our registered representatives to help you meet your financial objectives. Listed below is a list of the most common investment products available through Peak Brokerage Services.

Investment Product Types

Bonds Private Equity
Exchange Traded Funds Real Estate Investment Trusts
Fixed Indexed Annuity Stocks
Mutual Funds Variable Annuity

Consumer Privacy, Data, Security, Business Continuation Plan, and Important Additional Disclosures

SEC Rule 606 Reports

These reports (the “Reports”) are pursuant to Securities and Exchange Commission Rule 606, which requires all broker-dealers to make publicly available quarterly reports on their order routing practices. The Reports provide information on Peak Brokerages’ routing of “non directed orders,” which are orders that customers have not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Peak Brokerages’ custodian has selected the execution venue on behalf of its customers. The SEC’s final adopting release, along with the text of Rule 606, can be found at The SEC’s Frequently Asked Questions about Rule 606 can be found at

The PDFs below provide required information on Hightower order flows for orders by customers whose accounts are carried by Raymond James.

Required Information on Peak Brokerage Order Flow:


Raymond James 606 report Q3 2023

Raymond James 606 Report Q2 2023
Raymond James 606 Report Q1 2023

Raymond James 606 Report Q4 2022
Raymond James 606 Report Q3 2022
Raymond James 606 Report Q2 2022
Raymond James 606 Report Q1 2022

Raymond James 606 Report Q4 2021
Raymond James 606 Report Q3 2021
Raymond James 606 Report Q2 2021
Raymond James 606 Report Q1 2021

Additional Disclosures

Business Continuity Plan

Privacy Policy

Revenue Sharing

Strategic Partners

Issues to Consider When Your Broker Changes Firms