{"url":"https://nivawealth.com/firms/summit-group-retirement-planners-169823","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/169823","regulatoryAum":302322937,"crd":"169823","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1149077","suffix":null,"lastName":"FIORENZA","firstName":"ANTHONY","middleName":"JOHN"},{"crd":"5825196","suffix":null,"lastName":"FIORENZA","firstName":"DEREK","middleName":"CHRISTOPHER"},{"crd":"7036439","suffix":null,"lastName":"Mrosowski","firstName":"Renée","middleName":"Bangs"}],"total":3,"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":"2021-03-30","regulatoryAum":192720000,"clients":201,"employees":4,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":221818000,"clients":219,"employees":4,"offices":1},{"filedOn":"2023-03-08","regulatoryAum":205975000,"clients":235,"employees":3,"offices":1},{"filedOn":"2024-03-10","regulatoryAum":259636000,"clients":259,"employees":4,"offices":2},{"filedOn":"2025-03-18","regulatoryAum":261931000,"clients":257,"employees":4,"offices":2},{"filedOn":"2026-02-26","regulatoryAum":302322937,"clients":247,"employees":4,"offices":2}],"secFileNumber":"801-110664","legalName":"Summit Group Retirement Planners, Inc.","displayName":"Summit Group Retirement Planners","slug":"summit-group-retirement-planners-169823","website":"https://sgretirementplanners.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/summit-group-retirement-planners-inc-/","founded":null,"organization":"Pennsylvania corporation","fiscalYearEnd":"December","headquarters":{"street":"431 Exton Commons","city":"Exton","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19341"},"tradeNames":["SGRP","Summit Group Investor Strategists"],"registration":{"secApproved":"31 May 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":344702.97883597884,"staff":{"employees":4,"advisory":3,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":302322937,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":302322937,"nonDiscretionaryAccounts":255,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":177,"regulatoryAum":39570248},{"label":"High-net-worth individuals","clients":12,"regulatoryAum":25578615},{"label":"Pension and profit-sharing plans","clients":58,"regulatoryAum":234924416},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":974523},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":641269},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":633866}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":68040179},{"name":"Ascensus Trust Company","shortName":"Ascensus Trust","location":"Fargo, ND","smaAssets":58576387},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":135316832},{"name":"Matrix Trust Company","shortName":"Matrix Trust","location":"Denver, CO","smaAssets":29338950}],"custodyNote":"Summit Group Retirement Planners does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Anthony Fiorenza","title":"CEO","crd":"1149077"},{"name":"Derek Fiorenza","title":"COO and CCO","crd":"5825196"}],"ownership":[{"label":"Anthony Fiorenza","detail":"Ceo in the 50% to 75% ownership band and a control person, since November 2013."},{"label":"Derek Fiorenza","detail":"Coo and cco in the 25% to 50% ownership band and a control person, since November 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"431 Exton Commons","city":"Exton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"484-467-7899","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":84},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":1,"detail":"Notes"}],"privateFunds":0},"sources":{"adv1FilingDate":"26 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/169823/PDF/169823.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Summit Group Retirement Planners have?","answer":"Summit Group Retirement Planners has 247 clients and manages $302 million for them, as of February 2026. They include 177 individual clients, 58 pension and profit-sharing plans, and 12 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Summit Group Retirement Planners offer?","answer":"Summit Group Retirement Planners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Summit Group Retirement Planners use?","answer":"Summit Group Retirement Planners’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $135M, LPL Financial LLC (Fort Mill, SC), with $68M, Ascensus Trust Company (Fargo, ND), with $58.6M and Matrix Trust Company (Denver, CO), with $29.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Summit Group Retirement Planners have?","answer":"Summit Group Retirement Planners has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Summit Group Retirement Planners invest in?","answer":"At the end of its last fiscal year, Summit Group Retirement Planners’ separately managed accounts held 84% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities, 6% pooled vehicles (private funds and similar), 3% cash and equivalents and 1% other. The 1% other category is described as: Notes.","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":"Who owns Summit Group Retirement Planners?","answer":"Summit Group Retirement Planners’ direct owners are Anthony Fiorenza (50% to 75%) and Derek Fiorenza (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Summit Group Retirement Planners get paid?","answer":"Summit Group Retirement Planners is paid through a percentage of assets under management, hourly charges 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":"How do I contact Summit Group Retirement Planners?","answer":"Summit Group Retirement Planners’ main office is at 431 Exton Commons, Exton, PA 19341. Its phone number is 484-467-7899. Its website is sgretirementplanners.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 February 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."}