SUMMIT FINANCIAL
SUMMIT FINANCIAL ADVISORS, LLC Legal Name
Adviser information for SUMMIT FINANCIAL last updated from Form ADV on January 19th, 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 | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 211 | $54.3M |
| Non-Discretionary | 758 | $374.3M |
| Total | 969 | $428.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 162 | $74.5M |
| HNW Individuals | 95 | $354.0M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
1700 S. EL CAMINO REAL, SUITE 385SAN MATEO
CA
United States
Monday - Friday, 9AM-5PM
Tel: 650-357-9410, Fax: 650-357-0718
Websites
Chief Compliance Officer
CRISTINA P. ALBRIGHT
DIRECTOR, CLIENT SERVICES
1700 S. EL CAMINO REAL, SUITE 385
SAN MATEO
CA
United States
Tel:
650 357-9410
Fax:
650 357-0718
C*******@******************M
(Full email address available in API data)
Regulatory Contact
RAFAEL O. VELEZ, III
MANAGING DIRECTOR
1700 S. EL CAMINO REAL, SUITE 385
SAN MATEO
CA
United States
Tel:
650-357-9410
Fax:
650-357-0718
R*****@******************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 |
|---|---|---|---|---|---|
| VELEZ, RAFAEL, ORLANDO | Individual | – | MANAGING MEMBER | 07/1998 | > 75% |
| ALBRIGHT, CRISTINA, PETERSEN | Individual | – | CCO | 07/2021 | < 5% |