SUMMIT WEALTH STRATEGIES
SUMMIT X Legal Name
Adviser information for SUMMIT WEALTH STRATEGIES last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 13 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,757 | $787.7M |
| Non-Discretionary | 33 | $2.9M |
| Total | 4,790 | $790.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4,500 | $317.4M |
| HNW Individuals | 263 | $417.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 26 | $48.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 14 | $7.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
16020 SWINGLEY RIDGESUITE 110
CHESTERFIELD
MO
United States
BY APPOINTMENT ONLY, 8AM-5PM
Tel: 636-532-0088, Fax: None
Chief Compliance Officer
TRISH KOONTZ
16020 SWINGLEY RIDGE
SUITE 110
CHESTERFIELD
MO
United States
Tel:
(636) 532-0088
T******@*********M
(Full email address available in API data)
Regulatory Contact
KAYLA NIEMAN
INVESTMENT ADVISER REPRESENTATIVE
16020 SWINGLEY RIDGE RD.
STE. 110
CHESTERFIELD
MO
United States
Tel:
(636) 532-0088
K****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DICK, CARLTON, JEROME | Individual | – | OWNER | 12/2015 | < 5% |
| NIEMAN, KAYLA, RENEE | Individual | – | OWNER | 02/2016 | < 5% |
| OTT, MICHAEL, GARRETT | Individual | – | OWNER | 02/2016 | 25-50% |
| SPICUZZA, BRENT, STEPHEN | Individual | – | OWNER | 01/2016 | 25-50% |
| DONOVAN, PETER, JAMES | Individual | – | OWNER | 02/2016 | 10-25% |
| KOONTZ, TRISHA, KAY | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 3M | 18K | – |
| ADOBE INC | COM | 416K | 746 | – |
| ADVANCED MICRO DEVICES INC | COM | 938K | 6K | – |
| AIR PRODS & CHEMS INC | COM | 255K | 984 | – |
| ALPHABET INC | CAP STK CL A | 6M | 33K | – |
| ALPHABET INC | CAP STK CL C | 2M | 10K | – |
| ALTRIA GROUP INC | COM | 293K | 6K | – |
| AMAZON COM INC | COM | 5M | 26K | – |
| AMEREN CORP | COM | 2M | 26K | – |
| AMERICAN CENTY ETF TR | AVANTIS CORE FI | 2M | 40K | – |
| AMERICAN CENTY ETF TR | AVANTIS EMGMKT | 785K | 13K | – |
| AMERICAN CENTY ETF TR | US EQT ETF | 5M | 59K | – |
| AMERICAN CENTY ETF TR | US LARGE CAP VLU | 11M | 169K | – |
| AMERICAN CENTY ETF TR | US SML CP VALU | 1M | 16K | – |
| AMERICAN INTL GROUP INC | COM NEW | 226K | 3K | – |
| AMGEN INC | COM | 255K | 794 | – |
| APPLE INC | COM | 26M | 120K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 252K | 241 | – |
| AT&T INC | COM | 265K | 14K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 4K | – |
| BLACKROCK ETF TRUST | US EQT FACTOR | 17M | 354K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 5M | 95K | – |
| BLUEBIRD BIO INC | COM | 577K | 582K | – |
| BOEING CO | COM | 354K | 2K | – |
| BP PLC | SPONSORED ADR | 502K | 14K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 2M | 41K | – |
| BROADCOM INC | COM | 306K | 745 | – |
| CANADIAN NATL RY CO | COM | 1M | 11K | – |
| CARDINAL HEALTH INC | COM | 400K | 4K | – |
| CATERPILLAR INC | COM | 427K | 1K | – |
| CHEVRON CORP NEW | COM | 308K | 2K | – |
| CISCO SYS INC | COM | 291K | 6K | – |
| CITIGROUP INC | COM NEW | 1M | 22K | – |
| COCA COLA CO | COM | 2M | 25K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 283K | 4K | – |
| COMCAST CORP NEW | CL A | 601K | 15K | – |
| CONOCOPHILLIPS | COM | 202K | 2K | – |
| CORNING INC | COM | 302K | 8K | – |
| COSTAMARE INC | SHS | 2M | 149K | – |
| COSTCO WHSL CORP NEW | COM | 470K | 553 | – |
| CROWDSTRIKE HLDGS INC | CL A | 335K | 876 | – |
| CROWN CASTLE INC | COM | 222K | 2K | – |
| CSX CORP | COM | 256K | 8K | – |
| CVS HEALTH CORP | COM | 2M | 33K | – |
| DEERE & CO | COM | 674K | 2K | – |
| DELTA AIR LINES INC DEL | COM NEW | 1M | 30K | – |
| DEVON ENERGY CORP NEW | COM | 358K | 8K | – |
| DIMENSIONAL ETF TRUST | CORE FIXED INCOM | 7M | 176K | – |
| DIMENSIONAL ETF TRUST | INTL CORE EQUITY | 1M | 53K | – |
| DIMENSIONAL ETF TRUST | US EQUITY ETF | 15M | 246K | – |
| DISNEY WALT CO | COM | 2M | 17K | – |
| DOUBLELINE INCOME SOLUTIONS | COM | 2M | 167K | – |
| DOUBLELINE YIELD OPPORTUNITI | COM | 434K | 28K | – |
| DOW INC | COM | 1M | 20K | – |
| DUKE ENERGY CORP NEW | COM NEW | 302K | 3K | – |
| ELECTRONIC ARTS INC | COM | 330K | 2K | – |
| ELEVANCE HEALTH INC | COM | 507K | 944 | – |
| ELI LILLY & CO | COM | 3M | 4K | – |
| EMERSON ELEC CO | COM | 2M | 17K | – |
| EXXON MOBIL CORP | COM | 3M | 23K | – |
| FEDEX CORP | COM | 322K | 1K | – |
| FIDELITY COVINGTON TRUST | DIVID ETF RISI | 1M | 24K | – |
| FIDELITY COVINGTON TRUST | FIDELITY MAGELAN | 418K | 14K | – |
| FIDELITY COVINGTON TRUST | MSCI INFO TECH I | 2M | 10K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 11M | 236K | – |
| FIDELITY NATL INFORMATION SV | COM | 239K | 3K | – |
| FIRST CTZNS BANCSHARES INC N | CL A | 2M | 1K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 712K | 84K | – |
| FORD MTR CO DEL | COM | 981K | 78K | – |
| FS CREDIT OPPORTUNITIES CORP | COMMON STOCK | 163K | 26K | – |
| GE AEROSPACE | COM NEW | 299K | 2K | – |
| GENERAL MTRS CO | COM | 352K | 7K | – |
| GENUINE PARTS CO | COM | 305K | 2K | – |
| GERON CORP | COM | 2M | 406K | – |
| GILEAD SCIENCES INC | COM | 2M | 24K | – |
| GLOBAL X FDS | ARTIFICIAL ETF | 263K | 7K | – |
| HOME DEPOT INC | COM | 711K | 2K | – |
| HUMANA INC | COM | 870K | 2K | – |
| HYPERFINE INC | COM CL A | 15K | 18K | – |
| INNOVIZ TECHNOLOGIES LTD | SHS | 81K | 88K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 335K | 2K | – |
| INVESCO QQQ TR | UNIT SER 1 | 3M | 7K | – |
| ISHARES INC | CORE MSCI EMKT | 5M | 91K | – |
| ISHARES INC | MSCI EMERG MRKT | 293K | 5K | – |
| ISHARES INC | MSCI EMRG CHN | 6M | 99K | – |
| ISHARES SILVER TR | ISHARES | 269K | 10K | – |
| ISHARES TR | 0-5YR HI YL CP | 511K | 12K | – |
| ISHARES TR | 10-20 YR TRS ETF | 742K | 7K | – |
| ISHARES TR | 20 YR TR BD ETF | 8M | 86K | – |
| ISHARES TR | A RATE CP BD ETF | 742K | 16K | – |
| ISHARES TR | CONV BD ETF | 446K | 6K | – |
| ISHARES TR | CORE DIV GRWTH | 423K | 7K | – |
| ISHARES TR | CORE HIGH DV ETF | 3M | 28K | – |
| ISHARES TR | CORE MSCI EAFE | 2M | 23K | – |
| ISHARES TR | CORE MSCI TOTAL | 751K | 11K | – |
| ISHARES TR | CORE S&P MCP ETF | 992K | 17K | – |
| ISHARES TR | CORE S&P SCP ETF | 1M | 11K | – |
| ISHARES TR | CORE S&P TTL STK | 2M | 15K | – |
| ISHARES TR | CORE S&P500 ETF | 36M | 66K | – |
| ISHARES TR | CORE TOTAL USD | 226K | 5K | – |
| ISHARES TR | CORE US AGGBD ET | 550K | 6K | – |
| ISHARES TR | EAFE GRWTH ETF | 11M | 110K | – |
| ISHARES TR | EAFE VALUE ETF | 4M | 82K | – |
| ISHARES TR | ESG AWR MSCI USA | 2M | 15K | – |
| ISHARES TR | FALN ANGLS USD | 314K | 12K | – |
| ISHARES TR | GLOBAL TECH ETF | 324K | 4K | – |
| ISHARES TR | HDG MSCI EAFE | 3M | 71K | – |
| ISHARES TR | HIGH YLD SYSTM B | 2M | 45K | – |
| ISHARES TR | IBOXX INV CP ETF | 297K | 3K | – |
| ISHARES TR | INTL DIV GRWTH | 1M | 15K | – |
| ISHARES TR | INVESTMENT GRADE | 1M | 31K | – |
| ISHARES TR | ISHARES SEMICDTR | 632K | 3K | – |
| ISHARES TR | JPMORGAN USD EMG | 2M | 20K | – |
| ISHARES TR | MBS ETF | 7M | 72K | – |
| ISHARES TR | MORNINGSTAR GRWT | 224K | 3K | – |
| ISHARES TR | MSCI USA MIN VOL | 1M | 13K | – |
| ISHARES TR | MSCI USA MMENTM | 292K | 1K | – |
| ISHARES TR | MSCI USA QLT FCT | 17M | 102K | – |
| ISHARES TR | RUS 1000 GRW ETF | 1M | 3K | – |
| ISHARES TR | RUS 1000 VAL ETF | 1M | 6K | – |
| ISHARES TR | RUS MID CAP ETF | 207K | 3K | – |
| ISHARES TR | RUS TP200 GR ETF | 311K | 1K | – |
| ISHARES TR | RUSSELL 2000 ETF | 217K | 1K | – |
| ISHARES TR | S&P 500 GRWT ETF | 1M | 13K | – |
| ISHARES TR | S&P 500 VAL ETF | 657K | 4K | – |
| ISHARES TR | SHRT NAT MUN ETF | 310K | 3K | – |
| ISHARES TR | TIPS BD ETF | 2M | 22K | – |
| ISHARES TR | U.S. TECH ETF | 7M | 48K | – |
| ISHARES TR | US CONSUM DISCRE | 516K | 6K | – |
| ISHARES TR | US HLTHCARE ETF | 421K | 7K | – |
| ISHARES TR | US INDUSTRIALS | 287K | 2K | – |
| ISHARES TR | US INFRASTRUC | 3M | 60K | – |
| ISHARES TR | US TREAS BD ETF | 805K | 36K | – |
| J P MORGAN EXCHANGE TRADED F | MUNICIPAL ETF | 2M | 33K | – |
| JOHNSON & JOHNSON | COM | 759K | 5K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | – |
| KIMBERLY-CLARK CORP | COM | 1M | 9K | – |
| KKR INCOME OPPORTUNITIES FD | COM | 1M | 77K | – |
| KOHLS CORP | COM | 623K | 27K | – |
| KRAFT HEINZ CO | COM | 218K | 7K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 250K | 1K | – |
| LILIUM N V | CLASS A ORD SHS | 9K | 11K | – |
| LLOYDS BANKING GROUP PLC | SPONSORED ADR | 48K | 16K | – |
| LOCKHEED MARTIN CORP | COM | 285K | 608 | – |
| LOWES COS INC | COM | 329K | 1K | – |
| LUMINAR TECHNOLOGIES INC | COM CL A | 365K | 244K | – |
| MAINSTAY MACKAY DEFINEDTERM | COM | 507K | 31K | – |
| MARATHON PETE CORP | COM | 258K | 1K | – |
| MASTERCARD INCORPORATED | CL A | 5M | 10K | – |
| MCDONALDS CORP | COM | 2M | 7K | – |
| MEDTRONIC PLC | SHS | 298K | 4K | – |
| MERCK & CO INC | COM | 407K | 3K | – |
| MESOBLAST LTD | SPONS ADR | 1M | 148K | – |
| META PLATFORMS INC | CL A | 2M | 3K | – |
| MICRON TECHNOLOGY INC | COM | 450K | 3K | – |
| MICROSOFT CORP | COM | 10M | 23K | – |
| NETFLIX INC | COM | 501K | 744 | – |
| NEXTERA ENERGY INC | COM | 414K | 6K | – |
| NOVO-NORDISK A S | ADR | 1M | 10K | – |
| NUVEEN GLOBAL HIGH INCOME FD | SHS | 1M | 80K | – |
| NUVEEN MUN HIGH INCOME OPPOR | COM | 745K | 69K | – |
| NVIDIA CORPORATION | COM | 18M | 143K | – |
| ON SEMICONDUCTOR CORP | COM | 488K | 7K | – |
| ONEOK INC NEW | COM | 231K | 3K | – |
| ORACLE CORP | COM | 475K | 3K | – |
| OREILLY AUTOMOTIVE INC | COM | 9M | 8K | – |
| PACER FDS TR | DATA & DIGI REVO | 235K | 5K | – |
| PALO ALTO NETWORKS INC | COM | 654K | 2K | – |
| PEPSICO INC | COM | 1M | 6K | – |
| PFIZER INC | COM | 417K | 15K | – |
| PGIM GLOBAL HIGH YIELD FD FO | COM | 769K | 65K | – |
| PHILIP MORRIS INTL INC | COM | 1M | 10K | – |
| PIMCO DYNAMIC INCOME FD | SHS | 838K | 45K | – |
| PIMCO ETF TR | INTER MUN BD ACT | 390K | 8K | – |
| PIMCO MUN INCOME FD | COM | 358K | 39K | – |
| PROCTER AND GAMBLE CO | COM | 5M | 28K | – |
| QCR HOLDINGS INC | COM | 367K | 6K | – |
| QUALCOMM INC | COM | 276K | 1K | – |
| REGENERON PHARMACEUTICALS | COM | 308K | 293 | – |
| REINSURANCE GRP OF AMERICA I | COM NEW | 723K | 4K | – |
| REVANCE THERAPEUTICS INC | COM | 227K | 88K | – |
| ROCKWELL AUTOMATION INC | COM | 263K | 955 | – |
| RTX CORPORATION | COM | 3M | 30K | – |
| SANOFI | SPONSORED ADR | 356K | 7K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 431K | 7K | – |
| SELECT MED HLDGS CORP | COM | 565K | 16K | – |
| SELECT SECTOR SPDR TR | ENERGY | 400K | 4K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 321K | 8K | – |
| SELECT SECTOR SPDR TR | INDL | 279K | 2K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 256K | 1K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 531K | 4K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 236K | 3K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 510K | 2K | – |
| SHELL PLC | SPON ADS | 612K | 8K | – |
| SONY GROUP CORP | SPONSORED ADR | 239K | 3K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 606K | 2K | – |
| SPDR GOLD TR | GOLD SHS | 2M | 8K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 4K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 423K | 5K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 414K | 5K | – |
| SPDR SER TR | PRTFLO S&P500 HI | 219K | 5K | – |
| SPDR SER TR | S&P DIVID ETF | 363K | 3K | – |
| SS&C TECHNOLOGIES HLDGS INC | COM | 214K | 3K | – |
| STARBUCKS CORP | COM | 358K | 5K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 375K | 2K | – |
| TESLA INC | COM | 1M | 7K | – |
| THE CIGNA GROUP | COM | 873K | 3K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 216K | 395 | – |
| T-MOBILE US INC | COM | 301K | 2K | – |
| TREVENA INC | COM NEW | 4K | 16K | – |
| TRUIST FINL CORP | COM | 208K | 5K | – |
| UNION PAC CORP | COM | 490K | 2K | – |
| UNITED PARCEL SERVICE INC | CL B | 2M | 12K | – |
| UNITED RENTALS INC | COM | 243K | 372 | – |
| UNITEDHEALTH GROUP INC | COM | 2M | 4K | – |
| US BANCORP DEL | COM NEW | 303K | 8K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 329K | 1K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 5M | 64K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 355K | 1K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 730K | 1K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 263K | 973 | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 343K | 6K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 20M | 218K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 514K | 9K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 223K | 4K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 318K | 3K | – |
| VANGUARD WORLD FD | INF TECH ETF | 295K | 507 | – |
| VANGUARD WORLD FD | MEGA CAP INDEX | 263K | 1K | – |
| VERIZON COMMUNICATIONS INC | COM | 286K | 7K | – |
| VISA INC | COM CL A | 2M | 9K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 217K | 18K | – |
| WALMART INC | COM | 2M | 36K | – |
| WELLS FARGO CO NEW | COM | 499K | 9K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 202K | 7K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 310K | 4K | – |