Unclaimed Profile

Thomas Daniel Kerr

ROCKY PEAK CAPITAL MANAGEMENT, LLC·CALABASAS, California

SIE, Series 2, Series 7, Series 63, Series 65CFAClean record12 years registeredROCKY PEAK CAPITAL MANAGEMENT, LLC

3935 POPPYSEED PLACE, CALABASAS, CA 91302CRD# 1660793Firm CRD# 160207

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Daniel Kerr · CALABASAS, CA

Registration

CRD #1660793 · ROCKY PEAK CAPITAL MANAGEMENT, LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ROCKY PEAK CAPITAL MANAGEMENT, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

May 2022 – Feb 2024

Missoula, MT

PARK AVENUE SECURITIES LLC

Jun 2019 – Dec 2020

MISSOULA, MT

S.G. LONG & COMPANY

Jan 2018 – Nov 2018

MISSOULA, MT

ROCKY PEAK CAPITAL MANAGEMENT

Jun 2014 – Dec 2014

CALABASAS, CA

AGG ASSET MANAGEMENT, LLC

May 2014 – Oct 2014

WESTLAKE VILLAGE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 2

Series 7

Series 63

Series 65

Registration record

First registered · May 29, 2014

Years registered · 12

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ROCKY PEAK CAPITAL MANAGEMENT, LLC

CRD 160207 · SEC 801-73059

AUM

$664K

Regulatory assets under management

Employees

1 client accounts

Services offered by ROCKY PEAK CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (pooled investments)

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at ROCKY PEAK CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Daniel Kerr offer?

Thomas Daniel Kerr specializes in Investment Management, Fee-Only Advisory.

What are Thomas Daniel Kerr's credentials?

Thomas Daniel Kerr holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas Daniel Kerr located?

Thomas Daniel Kerr is based in CALABASAS, California, last registered with ROCKY PEAK CAPITAL MANAGEMENT, LLC.

How does Thomas Daniel Kerr charge for services?

Thomas Daniel Kerr's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROCKY PEAK CAPITAL MANAGEMENT, LLC?

ROCKY PEAK CAPITAL MANAGEMENT, LLC has approximately 1 employees and manages $664K in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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