Summit Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Summit Investment Management, LLC provides discretionary and non-discretionary investment advisory and consulting services to individuals and high‑net‑worth individuals. The firm’s brochure reports $16,759,900 in total assets under management as of December 31, 2024, including approximately $15,797,900 managed on a discretionary basis and $962,000 on a non‑discretionary basis.
The firm builds individualized portfolios using stocks, bonds, mutual funds and ETFs and emphasizes fundamental analysis and asset allocation, with portfolio reviews at least quarterly and rebalancing as warranted. It employs a mix of holding strategies — including long‑term, short‑term and trading approaches — tailored to client objectives and risk tolerances.
A notable distinction is that the firm’s representatives are licensed insurance agents/brokers and may offer insurance products for which they receive customary sales compensation; the brochure discloses this potential conflict and describes steps to address it. The firm also recommends a specific custodian (Altruist Financial) and requires clients to establish accounts there, and it discloses a prior self‑regulatory finding related to books‑and‑records for which no client harm was reported.
Client services
Expertise
Fee options
Flat fee up to $500 when services cannot be rendered within 6 months
$0 - $250,000: 1.50% $250,001 - $1,000,000: 1.25% $1,000,001+: Negotiable
$200 per hour
Main office
Lyme CT
Advisors at this office
1
Most active in
Connecticut
Also doing business as
Kaplan, Lawrence B. · Summit Investment Management · Summit Investment Management, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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