Summitas Investment Management provides portfolio management for individuals and small businesses.
Summitas Investment Management reports 41 clients. They include 41 high-net-worth individuals. Of its assets, 100.0% ($159M across 137 accounts) are managed with discretion. Of its clients, 5% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | <1% |
| High-net-worth individuals | 100% | 99% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | $1.1M | 0.7% | — |
| High-net-worth individuals | 41 | $158M | 99.3% | $3.84M |
| Total | 41 | $159M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $1.1M
- AUM share
- 0.7%
- Avg. per client
- —
- Clients
- 41
- Regulatory AUM
- $158M
- AUM share
- 99.3%
- Avg. per client
- $3.84M
Total
- Clients
- 41
- Regulatory AUM
- $159M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 5%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Summitas Investment Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
John Shao owns 75% or more of Summitas Investment Management. The leadership team of Summitas Investment Management includes President John Shao. It has 2 employees, 1 of them in advisory roles.
Leadership
- John ShaoPresident, Owner, Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Summitas Investment Management LLC
John Shao
Control person · since March 2024
Summitas Investment Management’s regulatory assets grew from $127M (July 2024) to $159M (March 2026); clients were 41 in both filings and employees rose from 1 to 2.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $159M | 41 | 2 | 1 |
| July 2025 | $131M | 43 | 2 | 1 |
| July 2024 | $127M | 41 | 1 | 1 |
Besides its headquarters, Summitas Investment Management has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Summitas Investment Management LLC
- Headquarters
- Not reported
- Website
- Not reported
- Phone
- 254-275-5326
- SEC file
- 801-130040
- Structure
- Texas LLC
- Fiscal year end
- December
Summitas Investment Management uses Fidelity ($159M) as custodian for its separately managed accounts. Summitas Investment Management does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $159M100%
At year end, Summitas Investment Management’s separately managed accounts were mostly in stocks (84%).
What the accounts hold
- Stocks84%
- Bonds9%
- Cash8%
How many clients does Summitas Investment Management have?
Summitas Investment Management has 41 clients and manages $159 million for them, as of March 2026. They include 41 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026
What services does Summitas Investment Management offer?
Summitas Investment Management provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Summitas Investment Management use?
Summitas Investment Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $159M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 March 2026
How many financial advisors does Summitas Investment Management have?
Summitas Investment Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 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
What does Summitas Investment Management invest in?
At the end of its last fiscal year, Summitas Investment Management’s separately managed accounts held 84% exchange-traded equities, 9% investment grade corporate bonds and 8% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Summitas Investment Management?
Summitas Investment Management’s direct owner is John Shao (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 3 March 2026
How does Summitas Investment Management get paid?
Summitas Investment Management is paid through a percentage of assets under management. 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
How do I contact Summitas Investment Management?
Its phone number is 254-275-5326.