SUMMIT FINANCIAL ADVISORS, INC.
Adviser information for SUMMIT FINANCIAL ADVISORS, INC. last updated from Form ADV on June 21st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 381 | $169.6M |
| Non-Discretionary | 37 | $3.7M |
| Total | 418 | $173.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 84 | $27.6M |
| HNW Individuals | 42 | $145.8M |
| 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 | 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-96206 |
|---|---|
| SEC ERA File Number | 801-96206 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145007 |
| Legal Entity Identifier | None |
Principal Office
300 N. MAIN STREETSUITE 500
MIDDLETOWN
OH
United States
Monday - Friday, 9AM-5PM
Tel: 513-424-6300, Fax: 513-424-1156
Websites
Chief Compliance Officer
MATTHEW A. WEED, CFA, CFP
VICE PRESIDENT / FINANCIAL PLANNER
300 N. MAIN STREET
SUITE 500
MIDDLETOWN
OH
United States
Tel:
513-424-6300
Fax:
513-424-1156
M****@****************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 |
|---|---|---|---|---|---|
| MILLER, ROGER, LOWELL | Individual | – | PRESIDENT | 07/2007 | 50-75% |
| MILLER, PETER, BENJAMIN | Individual | – | VICE PRESIDENT/SECRETARY/TREASURER | 07/2007 | 10-25% |
| WEED, ELLEN, MARIE | Individual | – | VICE PRESIDENT | 07/2007 | 10-25% |
| WEED, MATTHEW, ALLEN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |