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“Our goal is to raise the profile and attract assets under management for talented investment firms.”

THE PROCESS

Managers

You gain instant access to the right investors in the verticals that make the most sense for your strategy. Our proactive marketing process allows you to better manage your time, meet new clients, and focus on investing while we maintain relationships. 4Peaks is a division of MS Howells & Co., a FINRA member firm. In addition, we are a member of the Third Party Marketers Association, adhering to their principles and best practices set forth for our profession. Learn more at www.3pm.org

Investors

We offer in-depth and detailed knowledge of unique investment management firms not offered by traditional intermediaries with the objective view of an outside professional. All managers are fully vetted through our due diligence process and our firm policies. Investors use us as a resource for manager searches and industry trends since we speak to hundreds of managers on a regular basis. Our goal is to become an effective tool for investors in the inefficient world of sourcing high-quality investment managers.

Spotlight

  • 4Peaks in Newport, RI
    Sunset Cruise
    Join Us
  • Las Vegas
    May 13th-16th
    With R&D Capital
    Follow Up
  • 4Peaks with Waypoint Asset Management, LLC in Miami, FL
    Context Summit & Investor Meetings Follow Up With Us
  • 4Peaks Diron Tappin on
    Why You Can’t Completely Outsource Marketing
    Read the Article
  • 4Peaks in Los Angeles, CA
    E&Y Symposium, Client Meetings
    January 14th-16th
    Follow Up
  • 4Peaks in Miami, FL
    Context Summit
    January 29th-31st
    Meet Us
  • 4Peaks at Opal Family Office Conference - Napa, CA
    October 22nd-25th
    Follow Up
  • 4Peaks thoughts on the JOBS Act at theHedge.com
    Read the Article
  • Bullseye Asset Mangement
    Webinar Weds. Aug 28th
    Get Replay Here
  • Crescat Capital Aug. 20thConf Call: Update on Macro Themes
    Get Replay Here
  • Bullseye Asset Management in Emerging Manager Monthly
    Read the Article
  • 4Peaks in New York
    New Manager Launch &
    Meeting With Investors Sept.16th-19th
  • August 12th - 14th
    Great seeing everyone in Orange County & San Diego Follow Up
  • July 22nd 8am EDT 4Peaks will be on board the Crescat Capital ship for the Opal Regatta
  • July 21st - 24th Great Seeing You at the Opal Conference, Newport, RI.
    Follow Up with Us
  • Aug 1st Our friends at Johnson & Company are hosting a webinar - Marketing Alpha For Small Hedge Funds 11am EDT
  • July 17th - 19st 4Peaks in St. Louis, MO
  • July 1st – 3rd 4Peaks in Los Angeles & Orange County
  • June 18th - 20th 4Peaks Traveling to Philadelphia & Baltimore
  • June 10th Bullseye Meeting with Investors in Chicago
  • May 15th - 17th Meet 4Peaks Managers at Opal Chicago, Gaineswood’s Bill Baker on Panel “Why Small is Beautiful”

Lighter Side

Learn More

THE TEAM

Joe Downs, Vice President

Joe Downs

“Mean Joe” Downs joined 4Peaks Capital in February of 2013. Based in San Francisco, Joe brings over 12 years of institutional sales experience to the team.

Professional

Joe began his career in 1999 at SoundView Technology Group. At age 23 he was promoted to Vice President, the youngest in the history of the firm. He was one of the leading producers in the West Coast office upon his departure in 2003 when he left to help start American Technology Research.

As a Managing Director and senior partner at AmTech, Joe was the #1 ranked salesperson for several years. In his 8 year tenure he helped build the firm from the ground up, to a $30 million revenue run rate before the firm was ultimately sold.

He holds series 7, 24, and 63 licenses.

Academic

  • BBA in Finance: The College of William and Mary in Williamsburg, VA.
  • Division 1 Gymnast, USAG Collegiate All-American, team captain, and ranks 3rd in the school’s all-time all-around records.

Personal

Born in Syracuse, NY, Joe is the oldest of 5 brothers who all start with the letter “J”. He enjoys snowboarding, although has still yet to successfully land a jump. He’s also an avid golfer and holds high-scoring records at several Bay Area golf courses. Other activities include softball, fishing, piano playing, riding a Harley, and embracing a “work hard, play hard, date hardly” approach to life.

Diron Tappin, Managing Director

Diron Tappin

After working internally at our founding manager for several years, Diron founded 4Peaks on the premise that investment managers know they need comprehensive investor relationship management but lack the time or ability to do it as well as they manage money. We have the utmost respect for our manager’s talents and strive to offer equal professionalism and tenacity in a marketing role.

Professional

Prior to 4Peaks, Diron held positions in Institutional Sales and Marketing at GARP Research/Gaineswood Investment Management, American Technology Research and M.S. Howells & Co.

He holds the Series 7, 24, 31 & 66 Licenses

Academic

  • BS in Sociology: Criminal Justice, University of Northern Colorado
  • Failed Football Walk-On, Stayed out of the way for Back-to-back Division II National Champions

Organizations

  • Founder: Scottsdale Financial Services Initiative
  • Board member: Mountain View Little League
  • Committee Member: Timothy R. Hatch Foundation

Personal

Born in New York, grew up in Hawaii, college in Colorado, then to Newport Beach before calling Scottsdale home 9 years ago. He enjoys skiing, golf, (like everyone on every financial website you have ever read), mountain biking, hiking and spending as much time in the sun as possible with his wife & son - especially playing golf where he tries to maintain a 1:1 birdie to lost ball ratio.

M.S. Howells & Co.

M.S. Howells & Co.

4Peaks is a wholly owned subsidiary of M.S. Howells & Co. Located in Scottsdale, Arizona, M.S. Howells & Co. has a fully disclosed clearing arrangement with Pershing LLC, a BNY Mellon company. This relationship allows us to extend the benefits of a respected institutional firm to customers while at the same time maintaining a highly personalized standard of customer service.

Prime Brokerage - A full range of services, back office, trading and operations support, including portfolio reporting, real time P&L analysis, risk reporting and competitive pricing schedules.

Trading - Client dedicated institutional traders. Personalized trading and service solutions for institutional clients.

Fund Formation - MSH is noted for its hedge fund support, offering a highly competitive, cost and time effective platform for new hedge funds.

Registered Investment Advisors - A complete platform of reporting, risk analytics, and back office administration for traditional RIAs who actively manage their client’s accounts.

Learn more at MSHowells.com.