July 30 2018

PEAK Financial Group is pleased to announce the arrival of Ann David as Vice President, Compliance, on August 13, 2018. 

“PEAK is proud to welcome to its ranks Ann David,” said Robert Frances, Chairman and Chief Executive Officer of the Group. “Ann is without doubt the candidate we needed for this strategic position.”

Ann David has extensive experience and enjoys an outstanding reputation in the industry. With 20 years of experience in financial services, she has held several senior management positions at major Canadian financial institutions, including RBC and National Bank Financial Group. Her strong commitment to the industry includes serving as a member of the MFDA’s Policy Advisory Committee from 2007 until 2015. 

“I am honoured to be joining the PEAK team. It is a firm that is recognized across the country for its values of independence, ethics and integrity,” Ann David said. “During this period of regulatory change, I will have the pleasure of providing PEAK with guidance on compliance so that it can continue its mission of promoting Independent Advice.” 

As Vice President, Compliance, Ann David will oversee all PEAK’s compliance activities and will be responsible for its relations with the regulatory authorities. Her arrival is part of the Compliance Department’s succession plan. Her predecessor, Jean Carrier, will continue to work for PEAK as Special Advisor, among other roles. 

“PEAK’s business model has everything to enable our Group to continue its growth throughout Canada. We offer our Advisors and investors an environment that is conducive to the achievement of their objectives. Our goal is to continue investing in compliance to perpetuate our values of independence, ethics and integrity,” stated Marc Doré, PEAK’s President and Chief Operating Officer.

July 12 2018

Robert Frances, Chairman and Chief Executive Officer of PEAK Financial Group, has announced to his troops with the utmost pride and satisfaction that PEAK’s assets under administration have passed the $10-billion mark.

“We have just passed this major milestone. Obviously, we are extremely proud that more than 150,000 investors across Canada place their trust in us and that our assets under administration have reached this magic number, given that we are a fully independent multidisciplinary dealer. It is a source of pride but also a major responsibility that obliges us to uphold very high standards of integrity and professionalism.”

After 2017, which was marked by celebrations of PEAK’s 25th anniversary, new acquisitions and asset growth, 2018 is already promising to be a year of continued growth. And new projects are in progress to sustain this growth, such as substantial investments in the Group’s culture of innovation and in compliance initiatives.

PEAK is active across Canada as the country’s leading fully independent multidisciplinary dealer and is also playing an increasingly important role in insurance. Its business mode is based on three fundamental values: independence, integrity and innovation.

June 05 2018

We are proud to announce that PEAK Financial Group has been ranked as a leader among full-service dealers by the Investment Executive’s 2018 Dealers’ Report Card.

The firm’s stability and culture, the freedom to make objective product choices and the support to work with regulatory changes are the categories where PEAK excels.

This position illustrates PEAK Financial Group’s loyalty to its corporate mission of serving, representing and promoting Independent Advice.

To consult the ranking :

February 14 2018

PEAK is very pleased to announce that Stéphane Dulude has joined PEAK as Vice President, Business Development.  

“PEAK has the wind in its sails! We are determined to continue driving our growth across the country. To that end, we are investing in the network’s future by creating this key position,” stated Robert Frances, Chairman and CEO of the Group. “Stéphane Dulude is without doubt the prestigious candidate we needed for this highly strategic position.”

Mr. Dulude has extensive experience and enjoys an outstanding reputation. With more than 25 years of experience in financial services, banking and real estate, he has held senior management positions at major financial institutions in Canada. His strong industry involvement also includes serving as a member of the Investment Products Advisory Committee created by the Autorité des marchés financiers (AMF).

“I am very proud to join the PEAK team, a firm that has a stellar reputation from coast to coast. The range of products and services that PEAK offers Independent Advisors – mutual funds, insurance, securities, independent discretionary portfolio management, financial planning and mortgage financing – is one of the most complete,” Stéphane Dulude stated. “At a time when advice is more essential and valued than ever before, I am convinced that PEAK, which has for many years promoted Independent Advice based on the highest standards of ethics and integrity, is a key player in our industry.” 

As Vice President, Business Development, Stéphane will be responsible for overseeing our recruitment efforts across Canada, ensuring the success of PEAK Advisors in our network, managing PEAK’s Succession Plan Program and contributing to the firm’s strategic development, among other duties.

“PEAK’s business model has everything to attract Financial Advisors across Canada. We offer our Advisors independence, flexibility, support and innovation. Continuing to invest in the future of Financial Advisors and their clients is a powerful source of motivation for the entire PEAK team,” concluded Marc Doré, PEAK’s President and Chief Operating Officer.

About PEAK Financial Group – With $10 billion in assets under administration, PEAK is positioned as the leader amongst independent full-service dealers. From coast to coast, PEAK Financial Group has captured the trust of 1,500 independent Advisors, professionals and employees registered throughout Canada, enabling them to successfully serve more than 150,000 clients by delivering impartial financial advice for their investments.  PEAK Financial Group is comprised of 4 member companies: PEAK Investment Services Inc., PEAK Financial Services Inc., PEAK Securities Inc. and PEAK Insurance Services Inc.

February 07 2018

We are pleased to announce that Robert Frances, Chairman & CEO, is again named one of the year Top 25 financial personnalities in the category multidisciplinary firms category . 

Congratulations to Mireille Rondy, PEAK Securities Branch Manager and Investment Advisor, winner in the Investment Advisor category, and Guillaume Parent, PEAK Investment Services Advisor, winner in the multidisciplinary Advisor category.

February 06 2018

Since PEAK was founded 25 years ago, the assets under administration have grown continuously with $9,86 billion today.


PEAK is number 1 among dealers* for growth of assets under administration over the past 6 months**.


We are number 1 in Canada among fully independent dealers* and in the Top 5 of Canadian dealers* for volume of assets invested in fee-based accounts.**

These figures confirm that Independent Advice has a bright future, while showing that PEAK is both solid and at the leading edge of industry trends.

*Among dealers having participated to the survey

** Source: Strategic Insights, Financial Advisor Channel Feedback and Market Share – June 2017

February 23 2017

Robert Frances, Chairman and CEO of PEAK Financial Group, is pleased to announce that Joanne De Laurentiis has been appointed as a member of PEAK’s Board of Advisors. In that capacity, Ms. De Laurentiis will provide high-level strategic advice to the firm’s management.  

“This year, in addition to proudly marking our 25th Anniversary, we are delighted to surround ourselves with highly experienced professionals. Adding Joanne to our Board of Advisors will enable us to benefit from her vision and extensive expertise as we continue to invest in the future of Independent Advice while innovating and taking advantage of the major changes facing our industry,” Mr. Frances stated. “Whether we are talking about financial advice, fundamental changes to Financial Advisors’ compensation or innovations to equip Advisors so that they can serve their clients more effectively, I firmly believe no player is better positioned than PEAK. This is the perfect time to build on the strengths of our Board of Advisors and to continue our growth across Canada,” he added. 

With more than 30 years of experience in the financial services sector, Joanne De Laurentiis is recognized and respected in the financial community as a strong leader. As President and CEO of the Investment Funds Institute of Canada (IFIC) for more than 10 years, Ms. De Laurentiis played a key role in ensuring industry players and regulatory bodies recognize the value of advice in the best interests of investors. She was also President and CEO of the Interac Association and Acxsys Corporation, and President and CEO of the Canadian Credit Union Association (CCUA).

"I appreciated and benefitted greatly from Robert Frances' wise counsel when he served as Chairman of IFIC’s Board of Directors 10 years ago. I am delighted to have the opportunity to now make a contribution to PEAK's continued strong growth and development as an independent and innovative full service dealer", Ms. De Laurentiis said.  "It will be very rewarding to have a front row seat to observe how well PEAK's commitment to excellence supports its superb network of Advisors to provide Canadians with the financial guidance and advice that research shows they benefit from and so clearly need to build wealth", she added.

December 07 2016

PEAK Investment Services, the Mutual Fund Dealer of PEAK Financial Group, is pleased to announce that mutual fund Advisors will now be able to offer their clients access to exchange-traded funds (ETFs).

Leveraging the firm’s 15-year securities experience, PEAK pursues innovative solutions for the benefit of financial Advisors. PEAK’s technology and operations expertise is powering this solution on an in-house platform that enables mutual fund Advisors to place ETF trades directly through PEAK Investment Services. PEAK is one of the first dealers to provide mutual fund Advisors with products typically reserved for the securities clients.

“We believe that providing Advisors with an extensive offering of investment opportunities will contribute to create successful financial strategies for their clients.” said Robert Frances, Chairman & CEO of PEAK Financial Group. “It is crucial for Advisors to be well-equipped to better serve their clients and overcome the challenges of a changing and highly competitive industry. PEAK is committed to providing Advisors with a large offering to ensure them a bright future.” concluded Robert Frances.  

December 07 2016

PEAK Financial Group continues to grow by expanding its insurance activities. PEAK Financial Group Chairman and CEO, Robert Frances, is pleased to announce a major transaction with L.E.S Financial Services, a group of Advisors under the leadership of Mr. Lorne Schecter, an industry leader and specialist in living benefits insurance for more than 6,000 doctors and other healthcare professionals in Canada. 

This transaction reflects PEAK’s ambitions to continue to develop as the largest fully independent multidisciplinary group in Canada, having grown in assets under administration by 38% over the past five years. Concluding this transaction after alliances with three Managing General Agencies in recent years, PEAK Insurance Services will significantly strengthen its position in the insurance industry. 

“This is excellent news. We will expand the reach of our insurance services. This transaction also allows PEAK and L.E.S Financial Services to form a competitive partnership” said Robert Frances. 

“This partnership guarantees long-term continuity both for our firm and for our clients.” stated Lorne Schecter. “PEAK offers us the opportunity to continue doing what is most important to us – serving our clients – while broadening their opportunities with a powerful service offering. We will all benefit from the stability and soundness of this fully independent financial group. L.E.S and PEAK have a shared vision and values, including integrity and objectivity of advice, and I am confident L.E.S will benefit from PEAK Insurance Services’ outstanding back-office service.”

“PEAK Financial Group will celebrate its 25th Anniversary in the coming months. It is a perfect time to embark on a new chapter of growth,” concluded Robert Frances.

February 23 2016

PEAK Financial Group announced today that it has appointed Marc Doré as the firm’s President and Chief Operating Officer. Mr. Doré will report directly to PEAK’s Chairman and Chief Executive Officer, Robert Frances.

“We are very pleased and honoured to welcome Marc Doré to PEAK. Our growth continues to be strong and sustainable and new growth prospects are taking shape. There is a large, growing demand for Independent Advice, and there is no independent dealer that is better positioned to meet that demand than PEAK. As we continue to reach new milestones, this is the perfect time to build on the strength of our management team and embark on a new chapter of growth,” said Mr. Frances, noting that Marc Doré’s arrival will give him the opportunity to focus on PEAK’s strategic growth Canada wide, as well as innovation and new opportunities for Independent Financial Advisors. “We will be celebrating our 25th anniversary in a few months. Continuing to invest in the future of Independent Advisors and their clients is a powerful source of motivation for me, and for everyone at PEAK,” he noted.

Marc Doré brings over 25 years of leadership experience in management, real estate and investment with a number of major companies such as Quebecor World and Ivanhoe Cambridge (SITQ - Caisse de dépôt et placement du Québec). “It is a great honour for me to be joining the PEAK team as the firm continues its impressive rate of growth,” said Marc Doré, who has also been the CEO of Seasons Retirement. Working closely with Robert Frances, he will primarily lead the management team, oversee all aspects of company operations and ensure that the firm continues its role as a leader and a valued partner for Independent Financial Advisors across Canada.

February 04 2016

Finance et Investissement (Investment Excutive’s French counterpart) announced that Robert Frances, President and CEO of PEAK, has been ranked among Quebec’s Top 25 financial personalities in 2015.

The Top 25 is a review of the past year which highlights the success of various players in the industry. Over the years, it has become a record and important reference in the financial industry.

December 08 2015

The Tyler Group was recently featured as one of the Top Outstanding Independent Offices in Canada by Wealth Professional Magazine. This award of excellence is one of the most prestigious business awards, recognizing the independent offices in the country that are finding new and creative ways to better service clients and thrive in the face of increased competition from the banks and large financial corporations.

The Tyler Group an established independent financial planning firm located in Regina, Saskatchewan, serves over 325 families across Canada. Financial advisors Rod Tyler and Al Kimber together have over 60 years of combined experience providing clients with consistent guidance through all kinds of financial environments and individual financial challenges. When asked how The Tyler Group has achieved this record, Al Kimber points to two critical guiding principles of financial success: “Having a written financial plan and avoiding financial fads by using a managed money approach to client’s savings and investments. Those two principles, combined with the advice of a trusted financial advisor and the loyalty of our clients, are the best combination.”

Commenting on the award, Rod Tyler said, “It is an honour for our office to be recognized. In order to achieve this success, Al and I both recognize that is only possible by surrounding yourself with an outstanding team of dedicated colleagues. We are fortunate to have exactly those kind of team members.” Al also mentioned, “In order to succeed and grow any business, you need sufficient revenue to keep reinvesting in your business. The reinvestment could be in your staff, your back office or your software and technology. The Tyler Group has maintained a dedicated, educated and trusted staff over many years. That is certainly the cornerstone on which a high level of client service is possible.”

Robert Frances, President & CEO of PEAK Financial Group, said, “We are delighted to see recognition for the Tyler Group’s unique approach as an Independent Financial Advisor for investors. This office represents the best of Independent Advice and has earned this honour by standing out in the industry. PEAK is proud to have contributed to the Tyler Group’s success for 11 years.”

November 05 2015

PEAK Financial Group has been recognized as one of the Best Employers in Canada by Aon. The annual Best Employers list honours organizations with the highest levels of employee engagement, leadership and workplace satisfaction. This title is based on the results of a comprehensive survey of 190 000 employees from 280 companies across Canada working in different industries, including the financial services industry.

“We are proud to be acknowledged by our employees and join the ranks of Canada’s Best Employers,” said Robert Frances, President and CEO of PEAK Financial Group. “We were surprised to receive this recognition. This award reflects our commitment to improving the experience we offer our employees, which allows us to deliver the best possible service to Independent Financial Advisors. We continue to maintain a focus on employee engagement to be an attractive, rewarding and dynamic firm for our employees, our network of Advisors and for the next generation in Canada’s financial services industry.”

Since PEAK began taking part in the annual Best Employers survey in 2013, it has increased its score by 28 points, one of the best improvement rates among Canadian employers – small and medium organizations - Gold level. Engagement is about our employees’ level of commitment and accountability for improving business results. Motivated and better-trained employees provide superior support to PEAK Advisors. Happier employees can also express their ideas better, enabling PEAK to continue to be a unique and innovative firm.

June 12 2015

Wealth Professional awarded Rod Tyler the Advisor Lifetime Achievement Award on Friday, June 5th at the Wealth Professional Awards Gala in Toronto. This award of excellence is one of the most prestigious business awards, recognizing the lifetime achievement or outstanding contribution of an individual Financial Advisor to the Canadian financial planning industry as a whole.

Rod Tyler, Founder and President of the Tyler Group - an established independent financial planning firm located in Regina, SK - joined PEAK in 2004. He has been providing clients with financial planning, investment and insurance advice for 33 years. Rod completed his Certified Financial Planner designation in 1986, his Registered Financial Planner designation in 1987 and his Chartered Life Underwriters designation in 2008. Over the years he has served in various capacities in financial planning and insurance professional organizations. He is currently a member of the Conference of Advanced Life Underwriting, and has served on the local board of Advocis. In October of 2011 he was awarded the Fellow of FPSCTM distinction.

Commenting on the award, Robert Frances, President & CEO of PEAK Financial Group, said, “We are delighted to see the industry-wide honour bestowed on Rod Tyler, and especially pleased that his unique approach as an Independent Financial Advisor for investors and for the industry was recognized. Rod represents the best of Independent Advice and earned these honours by standing out in the industry.”

“It is an honour to be recognized by one’s peers. I was fortunate that over the years I was able to grow with the support of so many wonderful professionals,” says Rod Tyler. “In my role as Advisor I find it very rewarding to help families reach their goals and dreams through careful planning and investing. I also devote time to sharing my experience, knowledge and leadership skills by acting as a mentor to other business people.

February 19 2015

PEAK Financial Group is continuing to expand, strengthening its insurance of persons sector. HBO Financial Services joins forces with PEAK Insurance Services, PEAK’s insurance dealer created 17 years ago. Two years following the transaction with Customplan Financial Advisors Inc. and five years after the Promutuel Capital acquisition, this expansion reflects PEAK’s ambitions to continue developing one of the largest multidisciplinary and fully independent financial groups in the country. With a well-established network of more than 1,300 financial Advisors and professionals, PEAK is proudly asserting its desire to be the premier business partner of independent financial Advisors in Canada with its unique and very specialized offering in insurance, wealth management, mutual funds, securities and financial planning.

Concluding this transaction after a solid eight-year partnership, PEAK and HBO will be significantly strengthening their positions in the MGA market. PEAK Insurance Services is a leading national insurance of persons distributor, providing access to more than 20 insurance companies and business development services to Advisors in six offices across Canada.

July 12 2013

Mr. Robert Frances, President and CEO of PEAK Financial Group, is pleased to announce the arrival of well-known and highly respected portfolio managers as well as the creation of PEAK Securities’ new division : PEAK Private Wealth.

With the creation of the new division PEAK Private Wealth, PEAK Financial Group possesses a unique and specialized offering among the independent multidisciplinary dealers in the industry. Personalized discretionary portfolio management will be provided entirely by PEAK Private Wealth's highly qualified internal portfolio managers. PEAK is once again demonstrating that independence is the key to success for Advisors and their clients.

"PEAK has been offering wealth management services in collaboration with external portfolio managers for 10 years now. With today's announcement, we are clearly strengthening our position in this sector. The arrival of portfolio managers and the creation of the new division represent an opportunity for our Advisors, who can now complement their offering by using the new division's discretionary management services," concluded Robert Frances.

April 25 2013

In a press release issued recently, the Investment Industry Regulatory Organization of Canada (IIROC) advised of an accidental loss of a portable device that contained personal information relating to 52,000 clients of 32 brokerage firms (including discount brokers).

IIROC is the regulatory organization which supervises all securities dealers and brokerage firms in Canada.

We wish to inform you that the dealer PEAK Securities is not impacted by this situation. There was no breach of confidentiality relating to the personal information of clients with accounts held at PEAK Securities.

For more information, please contact IIROC at 1 866-333-0888.

January 11 2013

PEAK Financial Group is continuing to expand, strengthening its insurance of persons sector in Western Canada. One of the largest and most established MGAs in Western Canada, Customplan Financial Advisors Inc. joins forces with PEAK Insurance Services, PEAK's insurance dealer. Concluding this transaction during its 20th anniversary year, PEAK is expanding its well-established network of more than 1,300 independent financial Advisors and registered professionals in Canada and is diversifying its revenues in a geographic sector that offers considerable opportunities. Three years after acquiring Promutuel Capital and five years after purchasing AXA Financial Services, this continued expansion reflects PEAK's ambition to grow as one of the largest fully independent financial groups throughout the entire country.

This transaction will allow PEAK Insurance Services and Customplan Financial Advisors to significantly strengthen their positions in the MGA market, particularly in Western Canada. Having already acquired Greater Montreal Financial Services in 2002, PEAK Insurance Services is a leading national insurance of persons distributor, providing access to more than 20 insurance companies. Customplan Advisors will double the size of PEAK's insurance dealer, created almost 15 years ago. With five local offices in British Columbia, Alberta and Saskatchewan, PEAK will strengthen its Advisor support, network facilitation and business development services in a major way.

"After our five-year strategic alliance, we are delighted that Customplan Financial Advisors have joined us. This transaction is undeniable proof of our growth in the insurance sector and our favourable positioning," said Robert Frances, President and CEO of PEAK Financial Group. "We are proud to further deepen our relationship with the professionals and industry leading people at Customplan," he added.

"We are proud of our alliance with PEAK. PEAK's vision, commitment and values are literally identical to our own and will allow Customplan Advisors to enhance their activities in mutual funds and securities in a climate where their independence will be fully respected," said Karl Krokosinski, President and CEO of Customplan Financial Advisors.

About PEAK Financial Group

Founded in 1992, PEAK Financial Group, Canada's premier independent full service dealer, has an unrivalled reputation in the financial services industry and provides its expertise to a network of over 1,000 independent financial Advisors and registered professionals, well established in wealth management, mutual funds, securities, insurance and financial planning.

PEAK Financial Group has over $ 6 billion in assets under administration and an enviable life insurance portfolio. PEAK Financial Group is comprised of 4 member companies: PEAK Investment Services Inc., PEAK Financial Services Inc., PEAK Securities Inc. and PEAK Insurance Services Inc.

Thanks to the shared values of integrity, independence, and innovation within PEAK Financial Group, PEAK and its network of independent financial Advisors have earned the trust of over 135,000 investors, from coast to coast.

About Customplan Financial Advisors

Founded in 1978, Customplan Financial Advisors has a network of over 300 Advisors in British Colombia, Alberta, Saskatchewan, Ontario and Newfoundland. Fully independent, Customplan is one of the largest and most established MGAs in insurance, investments and financial planning in Western Canada.

Business in Vancouver Magazine lists Customplan as largest Independent financial planning firm in the Greater Vancouver Regional District.

October 12 2012

Investment Executive - October 3, 2012

A combination of higher costs and declining revenues is squeezing profitability for financial advisors, and as a result, some talented advisors are exiting the business, a panel of industry
leaders said on Wednesday.
At the Investment Funds Institute of Canada's (IFIC) 2012 leadership conference in Toronto, Robert Frances, president and CEO of Montreal-based Peak Financial Group, said the
industry must carefully assess its distribution channels to ensure they're financially sustainable in the long run.
"Many of our advisors do feel that they're underpaid," Frances said. "If profitability of distribution is not there, we will hit a problem eventually."

Read more

October 12 2012

Globe & Mail - October 3, 2012

Robert Frances has no trouble remembering what it was like to be a financial advisor 20 or 30 years ago. “An advisor was essentially a salesperson,” says the president and CEO of PEAK Financial Group, “someone who specialized in something, whether it be securities, mutual funds or insurance.” Not anymore. The financial services industry has become increasingly complex, and today the single-product advisor is largely a thing of the past.

Read more

Article By Months Light english