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Summit Global Investments

Fund managementMutual funds & ETFs

Bountiful, UTCRD 157091Updated

Summit Global Investments is an investment adviser based in Bountiful, UT, registered with the SEC since 2012. It provides financial planning and investment management. Its clients include investment companies, high-net-worth individuals and individual clients. Its regulatory assets under management total $2.29 billion, as filed on 24 June 2026.

$2.29B
AUM
7,475
Clients
$88.4K
AUM per individual client
8
Advisory staff
10
Offices

From Form ADV filed 24 June 2026SEC record

Services and clients

Summit Global Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions. Financial planning was provided to 1–10 clients last fiscal year. The firm advises 1 private fund.

Summit Global Investments reports 7,475 clients. They include 7,130 individual clients, 277 high-net-worth individuals, and 55 corporations and other businesses. Of its assets, 100.0% ($2.29B across 10,822 accounts) are managed with discretion.

Clients and assets by client type
Clients7,475 clients
Assets$2.29B
Share of clients and assets by client type
Client typeClientsAssets
Individuals (other than HNW)95%13%
High-net-worth individuals4%15%
Investment companies<1%58%
Pooled investment vehicles<1%<1%
Corporations and other businesses<1%13%
Client breakdown and activity details
Individuals (other than HNW)
Clients
7,130
Regulatory AUM
$304M
AUM share
13.2%
Avg. per client
$42.6K
High-net-worth individuals
Clients
277
Regulatory AUM
$351M
AUM share
15.3%
Avg. per client
$1.27M
Investment companies
Clients
11
Regulatory AUM
$1.34B
AUM share
58.4%
Avg. per client
$122M
Pooled investment vehicles
Clients
2
Regulatory AUM
$1.33M
AUM share
0.1%
Avg. per client
$664K
Corporations and other businesses
Clients
55
Regulatory AUM
$297M
AUM share
12.9%
Avg. per client
$5.4M

Total

Clients
7,475
Regulatory AUM
$2.29B
AUM share
100%
Avg. per client
$307K
Clients outside the U.S.
0%
Clients advised without assets under management last fiscal year
0
Private funds advised
1
Financial planning clients last fiscal year
1–10

Summit Global Investments fees and minimums

Summit Global Investments is paid through a percentage of assets under management, performance-based fees and other compensation; its fees and minimums are set out in its brochures on the SEC website.

Who owns Summit Global Investments

Summit Global, LLC. owns 75% or more of Summit Global Investments and is in turn owned by Harden Capital, LLC (25–50%). The leadership team of Summit Global Investments includes Chief Compliance Officer John Lore. It has 37 employees, 8 of them in advisory roles.

Leadership

  • John Lore
    Chief Compliance Officer
  • David Harden
    CEO

Investment adviser representatives

101 representatives listed in the SEC register as of 9 October 2026.

  • Izabela Betlinska
  • Michael Allen Bloomer
  • Amy Melissa Brown
  • Richard Keith Brown
  • Robert M Brown
  • Gregory Robert Caldwell
  • Tamara Carbajal
  • David Cheng
  • Shirley Si Cheng
  • Andrew Child
  • Travis Ray Christiansen
  • Lai Mui Chu

Staff

  • 37 employees
  • 8 in advisory functions
  • 14 state-registered reps
  • 1 broker-dealer rep
  • 6 insurance agents
  • 5 soliciting firms
Ownership chain
Summit Global Investments, LLC· the adviser

  • Summit Global, LLC.

    Control person · since December 2020

    Owns 75% or more of Summit Global Investments, LLC

    • Harden Capital, LLC

      Control person · since April 2020

      Owns 25% to 50% of Summit Global, LLC.

      • David Harden

        Control person · since October 2010

        Owns 50% to 75% of Harden Capital, LLC

      • Jennifer Harden

        since October 2010

        Owns 50% to 75% of Harden Capital, LLC

Growth and acquisitions

Summit Global Investments’ regulatory assets grew from $1.62B (July 2021) to $2.29B (June 2026); clients rose from 1,668 to 7,475 and employees from 22 to 37. In 2021, Presidium Partners joined it.

By annual filing
Measure
Figures from each annual filing
Summit Global Investments figures from each annual Form ADV filing
FiledRegulatory AUMClientsEmployeesOffices
June 2026$2.29B7,4753710
May 2025$1.92B6,923327
July 2024$2.03B6,241325
March 2023$1.54B3,710212
April 2022$1.76B2,161282
July 2021$1.62B1,668222

Firms that joined

  1. 20211 joined

    1. Presidium Partners
      Form ADV-W, CRD 144589
      No filed AUM

Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.

Offices and registration details

Besides its headquarters, Summit Global Investments has 9 offices, with 10 listed addresses across 5 states.

Listed office addresses by state

Utah · 4 listed addresses

  • 620 South Main Street, BountifulHQ
  • 1111 East Draper Parkway, Draper
  • 920 Heritage Park BLVD, Layton
  • 35 South 400 West, St. George

Other business names

Summit Global Investments has reported 1 other business name to the SEC.

  • Summit Global Private Wealth

Contact and registration details

Legal name
Summit Global Investments, LLC
Headquarters
620 South Main Street, Bountiful, UT 84010
Website
sgiam.com
Phone
888-251-4847
LinkedIn
@summit-global-investments
X
@SummitLowVol
SEC file
801-76631
Structure
Delaware LLC
Fiscal year end
December

Custodians

Summit Global Investments uses Interactive Brokers ($283M, 98%) and Charles Schwab ($4.65M, 2%) as custodians for its separately managed accounts. Summit Global Investments has custody of $1.33M in client assets for 4 clients.

Reported separately managed account assets by custodian
$287M
named custodians
  • Interactive BrokersInteractive Brokers LLC · Greenwich, CT · $283M98%
  • Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $4.65M2%

Investments and reported holdings

At year end, Summit Global Investments’ separately managed accounts were mostly in funds (53%) and stocks (38%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.83M across 523 positions; the largest are Rbb FD Inc. (15.2%), Rbb FD Inc. (12.1%) and Rbb FD Inc. (9.3%).

What the accounts hold

Separately managed account assets by class, year end
  • Stocks38%
  • Funds53%
  • Bonds3%
    • State and local bonds2%
    • Investment grade corporate bonds1%
  • Cash5%
  • Other1%
    • Derivatives1%

Reported 13F holdings

$1.83M
Reported 13F value
523
Positions
57.9%
In the 10 largest
+8.0%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. Rbb FD Inc. · Sgi Enha Mkt ETF15.2%
  2. Rbb FD Inc. · Sgi Enha Core ET12.1%
  3. Rbb FD Inc. · Sgi US Large Cap9.3%
  4. Rbb FD Inc. · Sgi Diversi Tac5.4%
  5. Rbb FD Inc. · Sgi Enh Nasd ETF5.1%
  6. Rbb FD Inc. · Sgi Enhanced Glb5.1%
  7. iShares TR · 7-10 YR Trsy BD2.0%
  8. Nvidia Corporation1.3%
  9. Apple Inc.1.3%
  10. Tesla Inc.1.0%

Together, the ten largest are 57.9% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 3 August 2026

Common questions

How many clients does Summit Global Investments have?

Summit Global Investments has 7,475 clients and manages $2.29 billion for them, as of June 2026. They include 7,130 individual clients, 277 high-net-worth individuals, and 55 corporations and other businesses.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 June 2026

What services does Summit Global Investments offer?

Summit Global Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Summit Global Investments use?

Summit Global Investments’ separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $283M and Charles Schwab & Co., Inc. (Westlake, TX), with $4.65M. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 June 2026

How many financial advisors does Summit Global Investments have?

Summit Global Investments has 14 investment adviser representatives registered with state securities authorities, out of 37 employees, and 8 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 6 employees are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Summit Global Investments invest in?

At the end of its last fiscal year, Summit Global Investments’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 38% exchange-traded equities, 5% cash and equivalents, 2% state and local bonds, 1% investment grade corporate bonds and 1% derivatives. It advises 1 private fund.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Summit Global Investments?

Summit Global Investments is owned through a chain of holding companies by David and Jennifer Harden. Its direct owner is Summit Global, LLC. (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 24 June 2026

How does Summit Global Investments get paid?

Summit Global Investments is paid through a percentage of assets under management, performance-based fees and other compensation. Its Form ADV lists no commissions among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Is Summit Global Investments registered with the SEC?

Yes, Summit Global Investments has been registered with the SEC as an investment adviser since 10 May 2012. Its CRD number is 157091 and its SEC file number is 801-76631.

Source: Form ADV Part 1A, Item 1, filed 24 June 2026; IAPD firm record

How do I contact Summit Global Investments?

Summit Global Investments’ main office is at 620 South Main Street, Bountiful, UT 84010. Its phone number is 888-251-4847. Its website is sgiam.com.

Source: Form ADV Part 1A, Item 1.F, filed 24 June 2026

Sources and methodology

  1. Form ADV Part 1A, amendment filed 24 June 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 157091.
  3. SEC registered adviser data, annual Form ADV amendments filed 9 July 2021 to 24 June 2026. Items 1.F and 5.
  4. Form ADV-W withdrawals of the firms listed under Growth and acquisitions, each linked to its IAPD record, from the SEC's Form ADV-W data. Item 1.
  5. SEC investment adviser representative register, as of 9 October 2026; loaded 10 October 2026.
  6. Form 13F-HR, filed 3 August 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since. Disciplinary history is not yet shown here. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.

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