{"url":"https://nivawealth.com/firms/summa-global-advisors-148713","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148713","regulatoryAum":144123398,"crd":"148713","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6733356","suffix":null,"lastName":"TUCKER","firstName":"VALERIE","middleName":"RUTH"},{"crd":"5194234","suffix":null,"lastName":"YU","firstName":"WAI NGAN","middleName":"HENRY"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-18","regulatoryAum":246218474,"clients":142,"employees":3,"offices":1},{"filedOn":"2022-03-25","regulatoryAum":140727670,"clients":135,"employees":3,"offices":1},{"filedOn":"2023-03-15","regulatoryAum":119143035,"clients":130,"employees":3,"offices":1},{"filedOn":"2024-07-09","regulatoryAum":138850787,"clients":134,"employees":2,"offices":1},{"filedOn":"2025-04-09","regulatoryAum":140082192,"clients":130,"employees":2,"offices":1},{"filedOn":"2026-06-17","regulatoryAum":144123398,"clients":125,"employees":2,"offices":1}],"secFileNumber":"801-71249","legalName":"Summa Global Advisors, LLC","displayName":"Summa Global Advisors","slug":"summa-global-advisors-148713","website":"https://summaglobal.com/","classification":{"segment":"individuals","segmentLabel":"Wealth 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individuals","clients":41,"regulatoryAum":114801048},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1429699}],"feePrograms":[{"role":"main","program":"Summa Fee Schedule","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048750","versionId":1048750,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-06-17","documentName":"SGA ADV PART 2A BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Investment and Financial Planning Consultation","summary":"One-time fixed fee of $1,000 to $20,000 for consulting on investment and financial planning issues, with a 50% non-refundable deposit.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048750","versionId":1048750,"submittedOn":"2026-06-17","documentName":"SGA ADV PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:50:26.701476+00:00","documents":[{"name":"SGA ADV PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048750","versionId":1048750,"submittedOn":"2026-06-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":94567157},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":49556241}],"custodyNote":"Summa Global Advisors has custody of $54M in client assets for 44 clients.","leadership":[{"name":"Valerie Tucker","title":"Chief Compliance Officer","crd":"6733356"},{"name":"Wai Ngan Yu","title":"Managing Director","crd":"5194234"}],"ownership":[{"label":"Summa Global Holdings, Inc.","detail":"Owner in the 75% or more ownership band and a control person, since January 2022."},{"label":"Valerie Tucker","detail":"Indirect owner: a vice president, secretary of Summa Global Holdings, Inc. in the 25% to 50% band and a control person, since March 2024.","parent":"Summa Global Holdings, Inc."},{"label":"Wai Ngan Yu","detail":"Indirect owner: a president of Summa Global Holdings, Inc. in the 50% to 75% band and a control person, since January 2022.","parent":"Summa Global Holdings, Inc."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"12901 Se 97th Ave, Suite 390","city":"Clackamas","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-636-2022","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":56},{"label":"Cash and cash equivalents","percent":10},{"label":"Other","percent":1,"detail":"Reits and Alternative Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"17 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/148713/PDF/148713.pdf","brochureDate":"17 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048750","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Summa Global Advisors have?","answer":"Summa Global Advisors has 125 clients and manages $144 million for them, as of June 2026. They include 84 individual clients and 41 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Summa Global Advisors offer?","answer":"Summa Global Advisors provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Summa Global Advisors charge?","answer":"Summa Global Advisors charges 0.50%–1.00% a year for its Summa Fee Schedule. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"SGA ADV PART 2A BROCHURE, filed 17 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Summa Global Advisors use?","answer":"Summa Global Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $94.6M and National Financial Services LLC (Boston, MA), with $49.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Summa Global Advisors have?","answer":"Summa Global Advisors has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Summa Global Advisors invest in?","answer":"At the end of its last fiscal year, Summa Global Advisors’ separately managed accounts held 56% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 10% cash and equivalents, 4% U.S. government and agency bonds, 1% state and local bonds and 1% other. The 1% other category is described as: Reits and Alternative Investments.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Summa Global Advisors have a minimum investment?","answer":"Yes, Summa Global Advisors’ minimum account size for its Summa Fee Schedule is $500K.","source":"SGA ADV PART 2A BROCHURE, filed 17 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Summa Global Advisors?","answer":"Summa Global Advisors is owned through a holding company by Valerie Tucker and Wai Ngan Yu. Its direct owner is Summa Global Holdings, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Summa Global Advisors get paid?","answer":"Summa Global Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Summa Global Advisors registered with the SEC?","answer":"Yes, Summa Global Advisors has been registered with the SEC as an investment adviser since 7 April 2010. Its CRD number is 148713 and its SEC file number is 801-71249.","source":"Form ADV Part 1A, Item 1, filed 17 June 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Summa Global Advisors?","answer":"Summa Global Advisors’ main office is at 12901 Se 97th Ave, Suite 390, Clackamas, OR 97015. Its phone number is 503-636-2022. Its website is summaglobal.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}