SUMMA GLOBAL ADVISORS, LLC
Adviser information for SUMMA GLOBAL ADVISORS, LLC last updated from Form ADV on March 14th, 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 | Oregon, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 326 | $125.7M |
| Non-Discretionary | 27 | $13.2M |
| Total | 353 | $138.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $82.7M |
| HNW Individuals | 13 | $51.8M |
| 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 | 2 | $4.3M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFINANCIAL PLANNING -- FLAT OR HOURLY FEES |
Identifiers
| SEC RIA File Number | 801-71249 |
|---|---|
| SEC ERA File Number | 801-71249 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148713 |
| Legal Entity Identifier | None |
Principal Office
12901 SE 97TH AVESUITE 390
CLACKAMAS
OR
United States
Monday - Friday, 7:30 AM - 4:00 PM
Tel: 503-636-2022, Fax: 503-908-6234
Chief Compliance Officer
VALERIE WAKEFIELD
12901 SE 97TH AVE
SUITE 390
CLACKAMAS
OR
United States
Tel:
503.636.2022
V*********@**************M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
5036355244
J****@******************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 |
|---|---|---|---|---|---|
| WAKEFIELD, RACHEL, JEAN | Individual | SUMMA GLOBAL HOLDINGS, INC. | OWNER; PRESIDENT | 01/2022 | 50-75% |
| YU, WAI NGAN, HENRY | Individual | – | VICE PRESIDENT, SECRETARY | 01/2022 | 25-50% |
| WAKEFIELD, RACHEL, JEAN | Individual | – | PRESIDENT, CCO | 01/2022 | 50-75% |
| SUMMA GLOBAL HOLDINGS, INC. | Domestic Entity | – | OWNER | 01/2022 | > 75% |