Peakview Capital’s Statement on Responsible Investment

Peakview Capital’s Guiding Principles

Peakview Capital recognizes the importance of responsible investment and the role of global financial markets in fostering sustainable investment. As a firm, we further acknowledge that social and environmental issues can be material to the financial outlook of the investment managers and companies in our portfolio, and thus, the overall performance of our funds.

Peakview Capital believes that companies and investment managers with strong environmental, social and governance (ESG) policies and procedures in place are typically better run, present fewer risks, and ultimately deliver better value for our investors. In addition, such investments also help to contribute to the collective betterment of society. As a result, Peakview Capital seeks to integrate ESG analysis into both pre-investment due diligence and the regular, ongoing monitoring of our portfolio investments.


Policy Scope and Limitations

Following its initial adoption in 2021, this responsible investment policy applies to all investments made by Peakview Capital. Additionally, as Peakview Capital continues to grow and develop as a firm, we will continue to evolve our ESG policy with the benefit of additional experience and the best practices of other investors.

This policy is intended to provide a broad framework for our approach to ESG integration through the investment life cycle across Peakview Capital’s investment businesses. Peakview Capital’s influence and control of fund managers and companies in which we invest varies significantly within the venture capital asset class. There may be limited circumstances where, due to the level of investor control Peakview maintains in a manager or company investment where it may be difficult to control the effective integration of ESG policy into an investment. In those circumstances, Peakview Capital will strive to appropriately implement as much of the responsible investment policy as possible, and/or try and influence other investors and key stakeholders to make similar investment considerations with regards to ESG.

Roles and Responsibilities

Peakview understands the importance of ESG in driving long-term success, and we strive for broad understanding and accountability of our ESG principles and actions across our organization.

  • Our CCO is responsible for promoting Peakview’s ESG policy and for ensuring that it is implemented at the firm and across each of our investment strategies.
  • Our investment committees oversee the integration of ESG principles into our investment processes and are accountable for ensuring responsible investment practices across our funds and professional network.
  • Our compliance team works cross-functionally with our investment teams, external partners and portfolio companies to drive our responsible investment principles into action and to ensure alignment with our ESG policy.
  • Our investment compliance team, along with our external partners, are responsible for identifying ESG risks and opportunities during investment diligence. Furthermore, our investment teams are responsible for incorporating those findings into our investment decision-making process.
  • Our compliance teams provide oversight over the ESG-related investment formation, diligence, disclosure and exit processes and ensure that we meet our regulatory obligations and commitments to fund investors and regulators.
  • Our investor relationship team engages with our fund investors on our ESG practices and works with our ESG team to meet our reporting obligations to our fund investors.


Our Responsible Business Practices

Peakview is committed to implementing leading ESG practices that are specific to our focus on venture capital fund investment. In addition to investing, our firm-level ESG strategy includes:

Internal Operations

Peakview has a Code of Ethics and Employee Handbook that require employees to conduct their business dealings with honesty, integrity, fairness and respect for others. We understand our fiduciary duty to our clients and seek to mitigate conflicts of interest and encourage transparency in our business practices.


Peakview fosters community engagement by encouraging employees to support the community through both charitable and volunteer support focused on various causes, including job training and opportunity, improving access to quality education, supporting the arts and protecting our health and the environment.

Privacy Protection

Peakview is committed to protecting the privacy and confidentiality of our stakeholders’ personal and corporate information in our operations.

Pre-Investment Due Diligence and Post-Investment Portfolio Monitoring ESG Checklist  

Peakview Capital has identified a series of ESG performance indicators and monitors them both pre and post investment across its portfolio of venture capital firms and companies. In addition, as a key component of the ESG program, the firm has also developed a checklist that seeks to inventory and quantify the ESG-related risks and opportunities across the portfolio. Peakview Capital encourages open dialogue and discussion with our LPs regarding ESG-related issues in the portfolio.

Peakview Capital expects portfolio investment managers and companies to operate in compliance with relevant environmental laws and regulations. Peakview Capital seeks to create a sound workplace for its employees and is an equal-opportunity employer that complies with all applicable national and local labor laws. The firm will encourage all portfolio managers and companies to consider their material social issues and to respect basic labor rights when conducting their business activities. With respect to investments in funds, Peakview would not invest in venture capital firms where the firm’s culture and/or practices are contrary to these guiding principles.

Peakview Capital’s portfolio company/firm ESG checklist includes 15 data points that access Environmental, Governance, and Social factors. However, not all data points will apply in the case of a company or firm investment opportunity. If a company or firm scores 75% or higher on the checklist, the company or firm will be considered responsible and Peakview Capital will take no further action. If a company or firm scores 75%-50%, this triggers a recommendation to the company or firm to improve their ESG-related performance. Peakview Capital will likely not invest in any firm or company that scores below 50% on the checklist.


Peakview Capital Portfolio Company/Investment Firm ESG Checklist

Environmental Performance

Does the company operate or does the investment firm invest in companies that operate factories that contribute to air/water pollution and global warming?

Does the company or investment firm encourage employee waste reduction and recycling?

Does the company or investment firm encourage employee telecommuting and/or utilize videoconferencing to reduce staff travel?

Does the company operate or does the investment firm invest in a business that is engaged in land development, deforestation, or mining?

If the company, or a company that the investment firm invests in uses hazardous materials to produce its products, does it ensure that they are disposed of properly?


Social Performance

Is the company or investment firm an equal opportunity employer?

Does the company or investment firm provide employee benefits or health insurance?

Does the company or investment firm offer stock options or other types of profit-sharing to its employees?

Does the company or investment firm have formed policies prohibiting sexual harassment?

Does the company or investment firm encourage its employees to donate to charities or perform volunteer service?

Governance Performance

Does the company or investment firm use an independent auditor?

Does the company or investment firm report its financials using generally accepted accounting standards?

Does Peakview Capital have the right to meet with the company’s or the investment firm’s management and review the company’s or firm’s financials?

Does the company have an independent compensation committee?

Does the company have an independent board of directors with sufficient influence from outside investors, as well as sound management and control structures?