Three Peaks Capital Management, LLC

Registered adviser

CIK

1598013

Location

CASTLE ROCK, CO

Portfolio Value

Small $279,322,378

Diversification

Diversified

Filing Date

Global Rank

#3,757 / 6,035 ▼ 117 · as of Sep 2021

Top Industry

Information Technology Services 7.3%

Period ended 5 years ago

Filed Oct 12, 2021 · 5y

7 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 127402

Roster of Nov 1, 2026

Regulatory AUM

$222,869,514

Main clients

Individuals and high net worth (64% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$222,869,514	Individuals and high net worth (64%)
Apr 2025 to Mar 2026	$250,704,408	Individuals and high net worth (57%)
Apr 2024 to Mar 2025	$229,550,445	Diversified
May 2023 to Mar 2024	$215,455,547	Diversified
Apr 2023	$215,455,547	Diversified
Feb 2022 to Mar 2023	$233,299,754	Diversified

3 earlier changes not shown.

Stated strategy

Fundamental active, Growth, Fixed income / rates, Multi-asset Form ADV Part 2A, Mar 31, 2026 · original

In the firm's words

Fundamental active: Following a multifaceted approach, our investment team strives to add value through intensive fundamental research into individual issuers of debt, active trading, and the ability to capitalize on changes within the market and/or economy.
Growth: Our Opportunity Growth Strategy emphasizes long-term capital appreciation.
Fixed income / rates: Three Peaks’ business is designed to leverage our expertise in high yield fixed-income securities in order to provide you with investment choices.
Multi-asset: The goal of this strategy is to provide additional diversification across various asset classes at different times throughout the economic/business cycle.

Portfolio style

Measured from the filed 13F common-share book for Sep 30, 2021, never from the firm's own description.

Style

Diversified active

Top 10 weight 23.9%, 63.3 effective positions, active share 94.6% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

62.8% over the last four quarters (30% to under 100%)

Horizon

Horizon unknown

The value-weighted holding period is at least 5.6 quarters, but 60.3% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 94.6%; sector active share 33.3% against the combined 13F book's sector weights.

Over time 7 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

85 tracked positions · as of Sep 30, 2021 · Δ vs Jun 30, 2021

Top Position

3.1%

+0.4 pts

Top 5

13.5%

+1.6 pts

Top 10

23.9%

+2.6 pts

HHI

158

Diversified+19

Portfolio Trend

7 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2021

Sector	% Portfolio	Value	Positions
Technology	23.7%	$66,237,810	18
Consumer Cyclical	16.1%	$45,093,644	12
Industrials	14.6%	$40,716,957	13
Financial Services	14.3%	$39,991,821	7
Healthcare	12.9%	$36,168,881	10
Unclassified	12.6%	$35,138,838	17
Consumer Defensive	2.8%	$7,832,877	3
Utilities	1.2%	$3,240,158	1
Communication Services	0.7%	$2,024,635	1
Real Estate	0.7%	$1,920,572	1
Basic Materials	0.3%	$956,185	2

Last Quarter's Activity

Export CSV

Sep 30, 2021 vs Jun 30, 2021

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
GT	Goodyear Tire & Rubber Co	+20,096	209,249	$3,703,707
BALL	BALL Corp	+16,591	64,724	$5,823,218
ALLY	Ally Financial Inc.	+11,925	151,241	$7,720,853
CLVT	Clarivate PLC	+10,910	165,122	$3,616,171
PFGC	Performance Food Group Co	+8,534	74,380	$3,455,694
—		+8,492	85,175	$3,111,000
CZR	Caesars Entertainment, Inc.	+8,063	40,088	$4,501,080
—		+7,429	52,196	$0
CHDN	Churchill Downs Inc	+7,335	25,448	$6,109,555
PLNT	Planet Fitness, Inc.	+5,667	38,803	$3,047,975
FOUR	Shift4 Payments, Inc.	+5,598	33,928	$2,630,098
LPLA	LPL Financial Holdings Inc.	+4,904	55,265	$8,663,341
VICI	Vici Properties Inc.	+3,821	67,602	$1,920,572
—		+3,678	88,857	$3,337,000
ON	On Semiconductor Corp	+3,231	50,579	$2,315,000
—		+3,064	136,756	$0
BFAM	Bright Horizons Family Solutions Inc.	+3,021	18,470	$2,575,087
CCK	Crown Holdings, Inc.	+2,829	34,440	$3,470,863
GFL	GFL Environmental Inc.	+2,648	141,320	$5,250,038
SCI	Service Corp International	+2,491	50,922	$3,068,559
—		+2,137	36,418	$0
LESLQ	Leslie's, Inc.	+1,738	119,541	$2,455,000
ENTG	Entegris Inc	+1,389	27,218	$3,426,746
AJG	Arthur J. Gallagher & Co.	+1,316	35,851	$5,329,251
—		+775	20,767	$3,472,034
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
RXT	Rackspace Technology, Inc.	−39,492	169,045	$2,403,819
VISN	Vistance Networks, Inc.	−30,424	153,092	$2,080,520
CARR	CARRIER GLOBAL Corp	−26,415	31,855	$1,648,814
AHCO	AdaptHealth Corp.	−25,604	115,774	$2,696,376
BLDR	Builders FirstSource, Inc.	−24,849	46,562	$2,409,117
SYF	Synchrony Financial	−12,012	60,823	$2,973,028
REZI	Resideo Technologies, Inc.	−10,108	93,084	$2,307,549
ZBH	Zimmer Biomet Holdings, Inc.	−9,617	28,890	$4,228,340
—		−9,144	205,391	$3,294,000
LYV	Live Nation Entertainment, Inc.	−8,723	22,217	$2,024,635
MAT	Mattel Inc	−7,690	224,376	$4,164,418
VRT	Vertiv Holdings Co	−6,369	221,699	$5,340,728
LDOS	Leidos Holdings, Inc.	−5,955	18,825	$1,809,647
SSNC	SS&C Technologies Holdings Inc	−2,539	90,961	$6,312,693
MRVL	Marvell Technology, Inc.	−2,507	71,517	$4,313,190
BRO	Brown & Brown, Inc.	−2,474	77,259	$4,284,011
TRU	TransUnion	−1,557	46,416	$5,212,980
USFD	US Foods Holding Corp.	−1,507	57,118	$1,979,709
LKQ	Lkq Corp	−1,453	76,572	$3,853,103
SWK	Stanley Black & Decker, Inc.	−1,358	12,235	$2,144,917
ELAN	Elanco Animal Health Inc	−1,187	109,510	$3,492,273
WCC	Wesco International Inc	−1,180	39,917	$4,603,228
NDAQ	Nasdaq, Inc.	−1,092	30,092	$5,808,357
IQV	Iqvia Holdings Inc.	−883	28,882	$6,918,394
CDW	CDW Corp	−863	26,461	$4,816,431
No positions match the current search.

New Positions

Positions the filer opened this quarter

7 positions

Ticker	Company	Shares	Value
BBWI	Bath & Body Works, Inc.	36,825	$2,321,079
BAH	Booz Allen Hamilton Holding Corp	11,910	$945,058
—		7,492	$655,000
ESI	Element Solutions Inc	23,791	$515,788
SMG	Scotts Miracle-Gro Co	3,009	$440,397
ACHC	Acadia Healthcare Company, Inc.	6,881	$438,870
—		5,907	$436,000
No positions match the current search.

Sold Out

Positions the filer fully exited

10 positions

Ticker	Company	Shares	Value
DELL	Dell Technologies Inc.	34,781	$3,466,623
UAA	Under Armour, Inc.	158,522	$3,352,740
GEN	Gen Digital Inc.	115,902	$3,154,852
—		170,839	$3,113,000
XPO	XPO, Inc.	21,854	$3,057,155
STZ	Constellation Brands, Inc.	13,020	$3,045,247
AMP	Ameriprise Financial Inc	11,599	$2,886,759
GDDY	GoDaddy Inc.	25,918	$2,253,829
KMX	Carmax Inc	17,331	$2,238,298
—		70,873	$1,906,000
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

85 tracked positions · $279,322,378 total · filing declares 87 positions · $300,590,000 · as of Sep 30, 2021

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 85 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
LPLA	LPL Financial Holdings Inc. Financial Services	Added	55,265	+4,904	$8,663,341	+27.4%	7+	before history	3.10%
ALLY	Ally Financial Inc. Financial Services	Added	151,241	+11,925	$7,720,853	+11.2%	7+	before history	2.76%
IQV	Iqvia Holdings Inc. Healthcare	Reduced	28,882	-883	$6,918,394	−4.1%	7+	before history	2.48%
SSNC	SS&C Technologies Holdings Inc Technology	Reduced	90,961	-2,539	$6,312,693	−6.3%	7+	before history	2.26%
CHDN	Churchill Downs Inc Consumer Cyclical	Added	25,448	+7,335	$6,109,555	+70.1%	7+	before history	2.19%
AVTR	Avantor, Inc. Healthcare	Reduced	145,065	-643	$5,933,158	+14.7%	7+	before history	2.12%
BALL	BALL Corp Consumer Cyclical	Added	64,724	+16,591	$5,823,218	+49.3%	7+	before history	2.08%
NDAQ	Nasdaq, Inc. Financial Services	Reduced	30,092	-1,092	$5,808,357	+6.0%	7+	before history	2.08%
		Reduced	42,024	-762	$5,592,000	+20.9%	7+	before history	2.00%
MSI	Motorola Solutions, Inc. Technology	Reduced	23,767	-260	$5,521,549	+6.0%	7+	before history	1.98%
VRT	Vertiv Holdings Co Industrials	Reduced	221,699	-6,369	$5,340,728	−14.2%	4	$19.27	1.91%
AJG	Arthur J. Gallagher & Co. Financial Services	Added	35,851	+1,316	$5,329,251	+10.2%	7+	before history	1.91%
GFL	GFL Environmental Inc. Industrials	Added	141,320	+2,648	$5,250,038	+18.6%	5	$25.15	1.88%
TRU	TransUnion Financial Services	Reduced	46,416	-1,557	$5,212,980	−1.0%	7+	before history	1.87%
XYL	Xylem Inc. Industrials	Reduced	41,221	-461	$5,098,213	+2.0%	7+	before history	1.83%
TFX	Teleflex Inc Healthcare	Reduced	13,472	-250	$5,072,881	−8.0%	7+	before history	1.82%
KEYS	Keysight Technologies, Inc. Technology	Reduced	29,927	-691	$4,916,706	+4.0%	7+	before history	1.76%
CDW	CDW Corp Technology	Reduced	26,461	-863	$4,816,431	+0.9%	7+	before history	1.72%
ZBRA	Zebra Technologies Corp Technology	Reduced	9,046	-76	$4,662,489	−3.5%	7+	before history	1.67%
WCC	Wesco International Inc Industrials	Reduced	39,917	-1,180	$4,603,228	+8.9%	4	$71.15	1.65%
CZR	Caesars Entertainment, Inc. Consumer Cyclical	Added	40,088	+8,063	$4,501,080	+35.5%	2	$100.25	1.61%
MRVL	Marvell Technology, Inc. Technology	Reduced	71,517	-2,507	$4,313,190	−0.1%	2	$48.88	1.54%
BRO	Brown & Brown, Inc. Financial Services	Reduced	77,259	-2,474	$4,284,011	+1.1%	7+	before history	1.53%
IT	Gartner Inc Technology	Reduced	14,008	-454	$4,256,751	+21.5%	4	$147.93	1.52%
ZBH	Zimmer Biomet Holdings, Inc. Healthcare	Reduced	28,890	-9,617	$4,228,340	−31.7%	7+	before history	1.51%
MAT	Mattel Inc Consumer Cyclical	Reduced	224,376	-7,690	$4,164,418	−10.7%	6	$12.96	1.49%
LKQ	Lkq Corp Consumer Cyclical	Reduced	76,572	-1,453	$3,853,103	+0.3%	7+	before history	1.38%
VRSK	Verisk Analytics, Inc. Industrials	Reduced	18,725	-268	$3,750,055	+13.0%	7+	before history	1.34%
GT	Goodyear Tire & Rubber Co Consumer Cyclical	Added	209,249	+20,096	$3,703,707	+14.2%	3	$15.30	1.33%
CLVT	Clarivate PLC Technology	Added	165,122	+10,910	$3,616,171	−14.8%	6	$25.64	1.29%
HYG	iShares iBoxx $ High Yield Corporate Bond ETF	Held	40,600	0	$3,552,094	−0.6%	6	unpriced	1.27%
BIO	Bio-Rad Laboratories, Inc. Healthcare	Reduced	4,741	-111	$3,536,548	+13.1%	7+	before history	1.27%
		Held	127,845	0	$3,501,674	−0.7%	4	$26.68	1.25%
ELAN	Elanco Animal Health Inc Healthcare	Reduced	109,510	-1,187	$3,492,273	−9.1%	7+	before history	1.25%
		Added	20,767	+775	$3,472,034	−11.2%	7+	before history	1.24%
CCK	Crown Holdings, Inc. Consumer Cyclical	Added	34,440	+2,829	$3,470,863	+7.4%	7+	before history	1.24%
PFGC	Performance Food Group Co Consumer Defensive	Added	74,380	+8,534	$3,455,694	+8.2%	7+	before history	1.24%
ENTG	Entegris Inc Technology	Added	27,218	+1,389	$3,426,746	+7.9%	7+	before history	1.23%
SRLN	State Street(R) Blackstone Senior Loan ETF	Held	74,322	0	$3,420,298	−0.6%	4	$45.30	1.22%
HCA	HCA Healthcare, Inc. Healthcare	Reduced	14,074	-575	$3,416,041	+12.8%	7+	before history	1.22%
USHY	iShares Broad USD High Yield Corporate Bond ETF	Held	81,850	0	$3,396,775	−0.5%	4	unpriced	1.22%
		Added	88,857	+3,678	$3,337,000	+16.0%	7+	before history	1.19%
BR	Broadridge Financial Solutions, Inc. Technology	Reduced	19,825	-558	$3,303,638	+0.3%	7+	before history	1.18%
		Reduced	205,391	-9,144	$3,294,000	−14.3%	3	unpriced	1.18%
AWK	American Water Works Company, Inc. Utilities	Added	19,168	+610	$3,240,158	+13.3%	7+	before history	1.16%
PANW	Palo Alto Networks Inc Technology	Held	6,680	0	$3,199,718	+29.1%	4	$348.12	1.15%
TDY	Teledyne Technologies Inc Technology	Added	7,404	+92	$3,180,610	+3.9%	7+	before history	1.14%
		Added	85,175	+8,492	$3,111,000	−4.5%	4	unpriced	1.11%
SCI	Service Corp International Consumer Cyclical	Added	50,922	+2,491	$3,068,559	+18.2%	7+	before history	1.10%
PLNT	Planet Fitness, Inc. Consumer Cyclical	Added	38,803	+5,667	$3,047,975	+22.2%	3	$78.96	1.09%

Showing the top 50 of 85 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.