Naples, FL Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Summit Financial, LLC
Multi-team
Firm-wide stats for Summit Financial, LLC
About
Summit Financial, LLC is an SEC‑registered, multi‑team advisory firm with about $26.35 billion in assets under management, 216 advisors and roughly 17,800 clients. It provides investment advisory and portfolio management programs (including Summit Managed Portfolios, Strategic Asset Allocation, APM/FMA and third‑party manager platforms), financial planning, retirement plan advisory (3(21) and 3(38) services), access to alternative investments and variable annuities.
The firm operates a mix of discretionary and consultative services: the Investment Management Committee has discretionary authority over the Managed Portfolios, while programs such as SAA and the SEI Mutual Fund Portfolios are structured to require client approval for trades and emphasize advisor‑led monitoring. Financial Advisors may customize allocations using third‑party managers and unified platforms, and Summit supports held‑away retirement account management via a Pontera connection; advisors may also provide brokerage or insurance products through affiliated or unaffiliated firms.
Distinctive for a firm of its scale, Summit maintains a substantial non‑discretionary/consultative platform alongside its discretionary offerings, with explicit disclosures that many accounts require client trade approvals or are subject to outside monitoring. The brochure also discloses multiple ownership and referral relationships (including ties to Merchant entities, the Persimmon Long/Short Equity I Fund, bank referral arrangements with Waterfall and Fieldpoint, and LSS referral fees), which the firm identifies as potential conflicts addressed through disclosure and supervisory procedures.
Based on Summit Financial, LLC
Expertise
Based on Summit Financial, LLC
Location
999 Vanderbilt Beach Road, Suite 607
Naples FL 34108
Advisors at this office
4
Advisors at this office
Ethan F
CFP®, Series 66
Naples, FL
Summit Financial, LLC
Ethan Fales is a CFP® with five years of experience in financial advisory, currently with Summit Financial, LLC. His prior experience includes roles at UBS Financial Services and Private Client Services. Summit Financial, LLC is a multi-team advisory firm managing approximately $26.35 billion in assets for around 17,800 clients. The firm offers investment advisory, portfolio management, financial planning, and retirement plan advisory services, operating both discretionary and consultative investment platforms.
Cole H
CFP®, Series 66
Naples, FL
Summit Financial, LLC
Cole Hughes is a CFP® with four years of industry experience, currently serving as an advisor at Summit Financial, LLC. His prior experience includes roles at UBS Financial Services and in private client services. Before entering financial services, he worked in education and real estate sales. Summit Financial, LLC is a multi-team SEC-registered advisory firm managing approximately $26.35 billion in assets. The firm offers a range of investment advisory and portfolio management programs, combining discretionary and consultative services to meet client needs across various strategies.
Heather C
Series 66
Naples, FL
Summit Financial, LLC
Heather Clegg is a financial advisor with Summit Financial, LLC, holding a Series 66 designation and 17 years of industry experience. Prior to joining Summit Financial and Private Client Services in 2024, she worked at UBS Financial Services INC from 2011 to 2024. She serves on the Board of Trustees and as Chair of the Investment Committee for The Village School of Naples. Summit Financial, LLC is a multi-team SEC-registered advisory firm with approximately $26.35 billion in assets under management, serving around 17,800 clients through a range of investment advisory, portfolio management, and financial planning services. The firm offers a combination of discretionary and consultative investment programs tailored to client needs.
William C
Series 63, Series 65
Naples, FL
Summit Financial, LLC
William Clegg IV is a financial advisor with Summit Financial, LLC, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. Prior to joining Summit Financial in 2024, he worked for UBS Financial Services Inc. for 16 years. He serves on the finance committee of New Horizons of SWFL, an organization focused on tutoring, mentoring, and faith-building for under-resourced youth. Summit Financial, LLC is a multi-team advisory firm managing approximately $26.35 billion in assets with 216 advisors serving around 17,800 clients. The firm offers a range of investment advisory and portfolio management programs, combining discretionary and consultative approaches, financial planning, retirement plan advisory, and access to alternative investments and variable annuities.
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