Haley & Summers Wealth Management, Inc.

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Client assets under management

$67,000,000

Clients

27% high-net-worth

Advisors

of 2 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Low

Average account size

$1,488,889

About

The firm provides personalized financial planning and investment management to individuals, trusts, estates, charitable organizations and small businesses. Advisory services described in the brochure include retirement and estate planning, tax and insurance reviews, education funding and ongoing investment supervisory services.

Investment management is delivered on a discretionary, actively managed basis and is tailored to each client’s risk profile and life stage; the firm uses both fundamental and technical analysis and typically invests in stocks, bonds, mutual funds and exchange-traded funds, while occasionally employing options, margin and other trading strategies. Accounts are monitored continuously, with quarterly performance reporting and up to four telephone or face-to-face portfolio reviews each year.

Noteworthy features for a firm of this size include a long operating history and a relatively concentrated client roster—roughly $65 million in assets across about 45 accounts—resulting in a focused advisor-to-client ratio. The firm operates as a fee-only fiduciary that does not custody client assets or accept commissions, maintains reciprocal oversight of employee trading as part of its compliance program, and discloses that one principal maintains a separate legal practice, which the brochure lists among its governance and business activities.

Client services

Financial planning Portfolio management Pension consulting

Expertise

Active portfolio management Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance

Fee options

Percentage

1% annually with a $5,000 minimum annual fee

Other

Account minimum: $500,000 Minimum fee: Minimum annual fee of $5,000, non-negotiable Fee-only: Firm is strictly fee-only, no commissions accepted

Main office location

Haley & Summers Wealth Management, Inc.

620 East Berry Street

Fort Wayne IN 46802, United States

Number of offices

Most active in

Indiana

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 260-437-0254

Advisors at this firm

Roger S

Series 63, Series 65

Fort Wayne, IN

Haley & Summers Wealth Management, Inc.

Roger Summers is a financial advisor with Haley & Summers Wealth Management, Inc. in Fort Wayne, Indiana, holding Series 63 and Series 65 licenses and bringing 34 years of industry experience. He has worked with THE O.N. Equity Sales Company since 1992 and operates Summers Financial Services, Inc. since 1984. In addition to his financial advisory work, Summers is also an attorney who assists clients with wills and trusts. Haley & Summers Wealth Management provides personalized financial planning and investment management services to individuals, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary, actively managed portfolios tailored to clients’ risk profiles and life stages, employing fundamental and technical analysis across a range of investment vehicles.

Active portfolio management Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance

Jeffrey H

Series 63, Series 65

Fort Wayne, IN

Haley & Summers Wealth Management, Inc.

Jeffrey Haley is a financial advisor with Haley & Summers Wealth Management, Inc. in Fort Wayne, IN, holding Series 63 and Series 65 licenses and bringing 25 years of industry experience. He has been associated with The O.N. Equity Sales Company since 1998 and Summers Financial Services Inc. since 1997, where he serves as Vice President. Haley & Summers Wealth Management provides personalized financial planning and investment management to individuals, trusts, estates, charitable organizations, and small businesses. The firm delivers discretionary, actively managed investment services tailored to clients’ risk profiles and life stages, using both fundamental and technical analysis across a range of securities.

Active portfolio management Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance

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