Old Peak Limited
Registered investment adviser · Wanchai · CRD #284472
Form ADV data as of 2026-09-01Regulatory assets
$1.33 billion
Total accounts
8
Employees
10
Disclosure events
1
Firm details
- Website: http://www.oldpeakgroup.com/
- Telephone: +852 3667 7700
- SEC file number: 801-110975
- Most recent Form ADV filing: 2026-04-30
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Charged with an investment-related misdemeanor (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.33 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $1.33 billion |
| Discretionary accounts | 8 |
| Non-discretionary accounts | 0 |
| Total accounts | 8 |
| Regulatory assets under management attributable to non-U.S. persons | $280.1 million |
People
| Total employees (excluding clerical) | 10 |
| Employees performing investment advisory functions (including research) | 3 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends securities in which it has another proprietary interest
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pooled investment vehicles (other than investment companies and BDCs) | 8 | $1.33 billion |