7 Summits Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
7 Summits Investment Management provides discretionary investment management, financial consulting, and periodic financial planning primarily for individual and small business clients, and reports managing approximately $1.24 million for a very small client base (five clients). The firm documents client goals in written investment policy statements and offers tailored services that can include project consulting or retainer-based advice in addition to ongoing portfolio oversight.
The firm follows a strategic, core-and-satellite asset allocation approach that emphasizes passively managed index and ETF core positions with active funds used selectively, and it monitors managed accounts at least monthly. Under written agreements the firm generally operates with limited power of attorney and may allocate some or all assets to unaffiliated third-party sub-advisers without charging separate sub-adviser fees, and it typically recommends custody through a major custodian.
Compared with many peers, 7 Summits does not serve high-net-worth clients and maintains an unusually small number of client relationships and modest assets under management for a supported firm. The firm’s investment team includes a charterholder-level practitioner and also discloses that a member is a licensed insurance agent who may offer insurance products on a commission basis, which the brochure identifies as a potential additional source of compensation.
Client services
Expertise
Fee options
Fixed fees for retainer agreements and project consulting, typically ranging from $1,000 to $10,000 depending on scope.
$0 - $3,000,000: 1.25% $3,000,001 - $10,000,000: 1.00% $10,000,001 - $20,000,000: 0.80% $20,000,001+: 0.60%
Approximately $250 per hour for open-ended consulting assignments.
Account minimum: $100,000 Fee-only: Investment management fees payable quarterly in advance as a percentage of AUM; additional annual advice and financial planning fee of 0.50% payable quarterly in advance as a percentage of AUM; retainer agreements negotiated, typically fixed fee or hourly at $250/hour; project consulting fees range from $1,000 to $10,000.
Main office
19800 Macarthur Boulevard, Santa Ana
Santa Ana CA 92704
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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