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11650 South State Street Suite 200, Draper, UT 84020-7150 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-04-28 |
| IA | RA | APPROVED | 2023-04-13 |
| ID | RA | APPROVED | 2023-04-12 |
| TX | RA | APPROVED_RES | 2023-04-12 |
| UT | RA | APPROVED | 2023-04-12 |
Branch Locations
11650 South State Street Suite 200, Draper, UT 84020-7150 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legacy Planning Group | Draper | UT | 02/2008 | 12/2018 |
| H. Beck, Inc. | Draper | UT | 03/2008 | 06/2018 |
| Lone Peak Capital Management, Llc | Draper | UT | 08/2016 | 12/2019 |
| Lone Peak Advisers, Inc. | Draper | UT | 06/2018 | Present |
| Transitional Broker | Draper | UT | 05/2020 | Present |
LASER LENDING, INC: POSITION: MORTGAGE LOAN ORIGINATOR. NATURE: MORTGAGE LOANS. INVESTMENT RELATED: YES. NUMBER OF HOURS/MO: 1. INVESTMENT RELATED HOURS: 1. START DATE: 11/09/2012 ADDRESS: 11576 S STATE ST, DRAPER UT 84020 DESCRIPTION: MORTGAGE LOAN ORIGINATOR. David WM. James LLC- not investment related; Draper, UT USA; LLC for tax purposes and ownership of both Transitional Broker, LLC and Lone Peak Advisers, LLC; Member/Manager; 1/1/2020; O hours; Traditional Broker Insurance Agency; not investment related; Draper, UT USA; Registered Agent; 11/30/2023; Less than 1 hour a month; Facilitate insurance licenses for Transitional Broker, LLC Independent Agent- Not investment related; Draper, UT USA; Insurance Agent; 11/01/1995; Less than 4 hours a month during trading hours. facilitate insurance products for customers Lone Peak Advisers, LLC- Yes investment related; Draper, UT USA; Registered Investment Advisor; Manager/COO; 6/15/2018; 100 hours during market hours; 60 during non trading hours; Provide investment and planning advice to clients. Kellogg Insurance; Agent; Not Investment Related; 11931 S 700 E Draper UT 84020; Description: Medicare supplemental insurance.; Responsibilities: Assist seniors of Medicare age with supplement questions.; Start date: 2025-09-01; 2 Hours per month devoted to business during trading hours; 2 Hours per month devoted to business outside trading hours; 1 Percent of total yearly compensation expected to be derived from the business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-22 |
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