Summit Financial Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$65,000,000
Clients
80
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
80
Very HighAverage account size
$812,500
About
Summit Financial Management LLC provides financial planning, investment consultation, portfolio management, and corporate advisory services to individuals (including high-net-worth clients), charitable organizations, foundations, small businesses, and corporations. The firm offers both broad-based and modular planning and may manage accounts on a discretionary or nondiscretionary basis, beginning engagements with an initial interview and documented investment guidelines.
Investment decisions are implemented using a tactical asset-allocation, core-and-satellite approach that typically uses ETFs as the core and actively managed funds, individual securities, structured notes, and fixed income as satellites, with a blend of fundamental and technical analysis. Portfolios and plans are reviewed regularly (quarterly for investment accounts and at least annually for client-level reviews), and the firm provides written reports and revised guidelines as needed.
What is noteworthy for a firm of this size is its mix of services: alongside serving roughly 80 clients and overseeing about $65 million in client assets, it also provides portfolio management for institutional clients and offers corporate advisory work on capital structures and debt optimization—capabilities that are uncommon among independent solo-advisor firms. The firm also conducts complimentary educational workshops and highlights professional standards tied to its principal’s CFA charter.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Corporate advisory services
Expertise
Cash flow / budgeting
Debt management
Retirement income strategy
Tax strategies for small businesses
Fee options
Hourly fees range from $250 to $500 per hour for financial planning and corporate advisory services.
Fee-only: Financial planning fixed fees range from $1,000 to $25,000; Corporate advisory fixed fees range from $2,500 to $250,000.
Main office location
Summit Financial Management LLC
1001 W. Glen Oaks Lane, Suite 205
Mequon WI 53092, United States
Number of offices
1
Most active in
Summit Financial Management LLC has reported serving >5 clients in these states in the last 12 months.
Wisconsin
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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