SUMNICHT & ASSOCIATES, LLC
Adviser information for SUMNICHT & ASSOCIATES, LLC last updated from Form ADV on March 22nd, 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 60 | $257.9M |
| Non-Discretionary | 47 | $29.2M |
| Total | 107 | $287.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 25 | $287.2M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)ADVICE ON MATTERS NOT INVOLVING SECURITIES. |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesTRUST ADMINISTRATION FEES |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-60309 |
|---|---|
| SEC ERA File Number | 801-60309 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111421 |
| Legal Entity Identifier | None |
Principal Office
5485 W GRANDE MARKET DRIVESUITE D
APPLETON
WI
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 920-731-4455, Fax: 920-731-9679
Websites
Chief Compliance Officer
VERNON C SUMNICHT
CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER
5485 W GRANDE MARKET DRIVE
SUITE D
APPLETON
WI
United States
Tel:
920-731-4455
Fax:
920-731-9679
V***@***********M
(Full email address available in API data)
Regulatory Contact
MARSHA GERENCSER
MANAGER OF OPERATIONS
5485 W GRANDE MARKET DRIVE
SUITE D
APPLETON
WI
United States
Tel:
920-731-4455
Fax:
920-731-9679
M*****@***********M
(Full email address available in API data)
Industry Affiliates
| ISECTORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SUMNICHT, VERNON, COFFEY | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER | 11/1988 | < 5% |
| SUMNICHT, VERNON, COFFEY | Individual | SUMNICHT HOLDINGS, LLC | OWNER | 01/2005 | 50-75% |
| SUMNICHT HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 01/2005 | > 75% |
| SUMNICHT, DEBRA | Individual | SUMNICHT HOLDINGS, LLC | PASSIVE OWNER | 01/2005 | 25-50% |