Summitry provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutions, selecting other managers, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 26–50 clients last fiscal year.
Summitry reports 1,327 clients. They include 745 high-net-worth individuals, 548 individual clients, and 12 pension and profit-sharing plans. Nearly all assets ($3.35B across 3,540 accounts) are managed with discretion; $230K across 491 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 41% | 12% |
| High-net-worth individuals | 56% | 82% |
| Investment companies | <1% | 2% |
| Pension and profit-sharing plans | <1% | <1% |
| Charitable organizations | <1% | 2% |
| Other client typesCorporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 548 | $405M | 12.1% | $738K |
| High-net-worth individuals | 745 | $2.74B | 81.9% | $3.68M |
| Investment companies | 1 | $80.3M | 2.4% | $80.3M |
| Pension and profit-sharing plans | 12 | $27.9M | 0.8% | $2.33M |
| Charitable organizations | 12 | $63.3M | 1.9% | $5.28M |
| Corporations and other businesses | 9 | $30.7M | 0.9% | $3.41M |
| Total | 1,327 | $3.35B | 100% | $2.52M |
- Clients
- 548
- Regulatory AUM
- $405M
- AUM share
- 12.1%
- Avg. per client
- $738K
- Clients
- 745
- Regulatory AUM
- $2.74B
- AUM share
- 81.9%
- Avg. per client
- $3.68M
- Clients
- 1
- Regulatory AUM
- $80.3M
- AUM share
- 2.4%
- Avg. per client
- $80.3M
- Clients
- 12
- Regulatory AUM
- $27.9M
- AUM share
- 0.8%
- Avg. per client
- $2.33M
- Clients
- 12
- Regulatory AUM
- $63.3M
- AUM share
- 1.9%
- Avg. per client
- $5.28M
- Clients
- 9
- Regulatory AUM
- $30.7M
- AUM share
- 0.9%
- Avg. per client
- $3.41M
Total
- Clients
- 1,327
- Regulatory AUM
- $3.35B
- AUM share
- 100%
- Avg. per client
- $2.52M
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Summitry charges 0.625%–1.25% a year for its Standard fee schedule. Each asset band is charged at its own rate. The fee is negotiable and has a $5,000 annual minimum. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$2.5M | 1.25% |
| $2.5M–$5M | 1.00% |
| $5M–$10M | 0.75% |
| $10M and above | 0.625% |
Fee details and sources
Other fees
- Standalone financial planning
- Standalone financial planning is a flat fee of $1,500 to $5,000 set in the Financial Planning Agreement and due in full when it is signed.
Aspen Standard Group, LLC owns 75% or more of Summitry and is in turn owned by Aspen Standard Group Intermediate Co. LLC (75% or more). The leadership team of Summitry includes President Alex Katz and Chief Compliance Officer Jennifer Rouse. It has 46 employees, 20 of them in advisory roles.
Leadership
- Alex KatzPresident, CEO
- Jennifer RouseChief Compliance Officer
- Conor WilkesCOO, CEO
Investment adviser representatives
28 representatives listed in the SEC register as of 9 October 2026.
- William Berg
- ShanTaya Cowan
- Cynthia Wallace Duncan
- Ryan Michael Ficks
- Thomas Emmett Guinane
- Robert Clifton Hammack
- Emily Kathryn Hazelroth
- Colin Matthew Higgins
- Kurt Hoefer CFA
- Jacob Maxwell Kark
- Alex Barth Katz
- Michael Kon
- Alexander Scott Leitzes
- Rohit Bharat Mansukhani
- Joseph A Martin
- Christopher Dalmar Moody
- Tyler Patterson
- Thao Da Pham
- Lori Delynn Russell
- Claire Michelle Shifren
- Daniel Spector-Franson
- Jon Paul Theriault
- Alexander A Tran
- Archana Ravindra Turaga
- Allison Meili Uozumi
- Kenneth Marvin Vander Kooi
- James Michael Vandevoorde
- Jack Shujie Zhao
Staff
- 46 employees
- 20 in advisory functions
- 24 state-registered reps
- 4 soliciting firms
- Owns 75% or more of Summitry, LLC
Aspen Standard Group, LLC
Control person · since November 2024
- Owns 75% or more of Aspen Standard Group, LLC
Aspen Standard Group Intermediate Co. LLC
Control person · since July 2024
- Owns 75% or more of Aspen Standard Group Intermediate Co. LLC
Aspen Standard Group Topco, LLC
Control person · since August 2024
- Owns 75% or more of Aspen Standard Group Topco, LLC
Evergreen Solutions Group Topco II, LLC
Control person · since March 2025
- Owns 50% to 75% of Evergreen Solutions Group Topco II, LLC
Alpine Investors IX-A Splitter Eg II, LP
Control person · since March 2025
- Owns 75% or more of Alpine Investors IX-A Splitter Eg II, LP
Alpine Investors IX-A Blocker Eg II, LLC
Control person · since March 2025
- Owns 75% or more of Alpine Investors IX-A Blocker Eg II, LLC
Alpine Investors IX-A, LP
Control person · since March 2025
- Owns 25% to 50% of Evergreen Solutions Group Topco II, LLC
Alpine Investors IX, LP
Control person · since March 2025
Summitry’s regulatory assets grew 1.7× from $1.96B (June 2021) to $3.35B (June 2026); clients rose from 1,238 to 1,327 and employees from 33 to 46. In 2026, Vantage Wealth ($609M in its last filing) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $3.35B | 1,327 | 46 | 3 |
| May 2025 | $3.01B | 1,225 | 43 | 2 |
| July 2024 | $2.45B | 1,154 | 40 | 1 |
| April 2023 | $1.99B | 1,461 | 35 | 1 |
| March 2022 | $2.38B | 1,477 | 36 | 1 |
| June 2021 | $1.96B | 1,238 | 33 | 1 |
Firms that joined
20261 joined
- Vantage WealthLast filed AUM $609M
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.
Besides its headquarters, Summitry has 2 offices (1 private residence, listed without an address), with 2 listed addresses in California.
California · 2 listed addresses
- 919 Hillsdale BLVD., Suite 150, Foster CityHQ
- 125 N. Raymond Ave, Pasadena
Contact and registration details
- Legal name
- Summitry, LLC
- Headquarters
- 919 Hillsdale BLVD., Suite 150, Foster City, CA 94404
- Website
- summitry.com
- Phone
- 650-212-2240
- @summitryllc
- SEC file
- 801-62398
- Founded
- 2003
- Structure
- California LLC
- Fiscal year end
- December
Summitry uses Charles Schwab ($3.14B) as custodian for its separately managed accounts. Summitry does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $3.14B100%
At year end, Summitry’s separately managed accounts were mostly in stocks (68%) and bonds (20%). Its reported 13F holdings for the quarter ended 30 June 2026 total $3.04B across 340 positions; the largest are Visa Inc. (4.9%), Amazon Com Inc. (4.7%) and Alphabet Inc. (4.4%).
What the accounts hold
- Stocks68%
- Funds2%
- Bonds20%
- Investment grade corporate bonds12%
- State and local bonds8%
- Cash9%
- Other1%
- Preferred + reits1%
Reported 13F holdings
- $3.04B
- Reported 13F value
- 340
- Positions
- 35.9%
- In the 10 largest
- +7.2%
- Value vs. prior quarter
- Visa Inc. · Com CL A4.9%
- Amazon Com Inc.4.7%
- Alphabet Inc. · Cap Stk CL A4.4%
- Taiwan Semiconductor Manufac · Sponsored ADS4.3%
- Mastercard Incorporated · CL A3.7%
- Carrier Global Corporation3.3%
- Agilent Technologies Inc.2.9%
- Microsoft Corp.2.7%
- Lowes Cos Inc.2.7%
- Wells Fargo & CO2.4%
Together, the ten largest are 35.9% of reported value.
How many clients does Summitry have?
Summitry has 1,327 clients and manages $3.35 billion for them, as of June 2026. They include 745 high-net-worth individuals, 548 individual clients, and 12 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 June 2026
What services does Summitry offer?
Summitry provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutions, selecting other managers, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Summitry charge?
Summitry charges 0.625%–1.25% a year for its Standard fee schedule. Each asset band is charged at its own rate. The fee is negotiable and has a $5,000 annual minimum.
Source: ADV PART 2, filed 30 June 2026
Which custodians does Summitry use?
Summitry’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $3.14B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 June 2026
How many financial advisors does Summitry have?
Summitry has 24 investment adviser representatives registered with state securities authorities, out of 46 employees, and 20 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 Summitry invest in?
At the end of its last fiscal year, Summitry’s separately managed accounts held 68% exchange-traded equities, 12% investment grade corporate bonds, 9% cash and equivalents, 8% state and local bonds, 2% registered funds (mutual funds, ETFs, BDCs) and 1% other. The 1% other category is described as: Preferred + Reits.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Summitry?
Summitry is owned through a chain of holding companies by Alpine Investors IX, LP and Alpine Investors IX-A, LP. Its direct owner is Aspen Standard Group, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 June 2026
How does Summitry get paid?
Summitry 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
Is Summitry registered with the SEC?
Yes, Summitry has been registered with the SEC as an investment adviser since 26 September 2003. Its CRD number is 128586 and its SEC file number is 801-62398.
Source: Form ADV Part 1A, Item 1, filed 30 June 2026; IAPD firm record
How do I contact Summitry?
Summitry’s main office is at 919 Hillsdale BLVD., Suite 150, Foster City, CA 94404. Its phone number is 650-212-2240. Its website is summitry.com.