Sumnicht & Associates provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Sumnicht & Associates reports 10 high-net-worth individuals. Of its assets, 59.3% ($64M across 47 accounts) are managed with discretion; $43.9M across 25 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 10 | $108M | 100.0% | $10.8M |
| Total | 10 | $108M | 100% | $10.8M |
- Clients
- 10
- Regulatory AUM
- $108M
- AUM share
- 100.0%
- Avg. per client
- $10.8M
Total
- Clients
- 10
- Regulatory AUM
- $108M
- AUM share
- 100%
- Avg. per client
- $10.8M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Sumnicht & Associates charges 0.50%–1.25% a year for its Investment Management. The fee is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Special Projects
- Pre-agreed special projects, including investment management, financial planning and consulting, are billed hourly at $75 to $650 per hour depending on staff and complexity.
Sumnicht Holdings, LLC owns 75% or more of Sumnicht & Associates and is in turn owned by Vernon Sumnicht (50–75%) and Debra Sumnicht (25–50%). Vernon Sumnicht is CEO. It has 3 employees.
Staff
- 3 employees
- 3 in advisory functions
- 2 state-registered reps
- 1 insurance agent
- Owns 75% or more of Sumnicht & Associates, LLC
Sumnicht Holdings, LLC
Control person · since January 2005
- Owns 50% to 75% of Sumnicht Holdings, LLC
Vernon Sumnicht
Control person · since January 2005
- Owns 25% to 50% of Sumnicht Holdings, LLC
Debra Sumnicht
Control person · since January 2005
Sumnicht & Associates’ regulatory assets fell from $370M (March 2021) to $108M (March 2026); clients fell from 163 to 10 and employees from 4 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $108M | 10 | 3 | 3 |
| Mar 2025March 2025 | $100M | 10 | 4 | 2 |
| Mar 2024March 2024 | $287M | 25 | 4 | 2 |
| Mar 2023March 2023 | $255M | 25 | 4 | 2 |
| Apr 2022April 2022 | $342M | 103 | 3 | 2 |
| Mar 2021March 2021 | $370M | 163 | 4 | 2 |
Besides its headquarters, Sumnicht & Associates has 2 offices (2 private residences, listed without an address), with 1 listed address in 1 state.
Wisconsin · 1 listed address
- 5485 W Grande Market Drive, Suite D, AppletonHQ
Contact and registration details
- Legal name
- Sumnicht & Associates, LLC
- Headquarters
- 5485 W Grande Market Drive, Suite D, Appleton, WI 54913
- Website
- sumnicht.com
- Phone
- 920-731-4455
- SEC file
- 801-60309
- Structure
- Delaware LLC
- Fiscal year end
- December
Sumnicht & Associates’ named custodian for separately managed accounts is Fidelity ($97.8M). Sumnicht & Associates has custody of $47.5M for 5 clients.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $97.8M100%
At year end, Sumnicht & Associates’ separately managed accounts were mostly in stocks (91%).
What the accounts hold
- Stocks91%
- Cash1%
- Other8%
- Annuities, promissory notes8%
How many clients does Sumnicht & Associates have?
Sumnicht & Associates has 10 clients and manages $108 million for them, as of March 2026. They include 10 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026
What services does Sumnicht & Associates offer?
Sumnicht & Associates 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
How much does Sumnicht & Associates charge?
Sumnicht & Associates charges 0.50%–1.25% a year for its Investment Management. The fee is negotiable.
Source: SUMNICHT & ASSOCIATES, LLC ADV PART 2 BROCHURE, filed 27 March 2026
Which custodians does Sumnicht & Associates use?
Sumnicht & Associates’ separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $97.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026
How many financial advisors does Sumnicht & Associates have?
Sumnicht & Associates has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Sumnicht & Associates invest in?
At the end of its last fiscal year, Sumnicht & Associates’ separately managed accounts held 91% exchange-traded equities, 8% other and 1% cash and equivalents. The 8% other category is described as: Annuities, Promissory Notes.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Sumnicht & Associates?
Sumnicht & Associates is owned through a holding company by Vernon and Debra Sumnicht. Its direct owner is Sumnicht Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 March 2026
How does Sumnicht & Associates get paid?
Sumnicht & Associates is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 Sumnicht & Associates?
Sumnicht & Associates’ main office is at 5485 W Grande Market Drive, Suite D, Appleton, WI 54913. Its phone number is 920-731-4455. Its website is sumnicht.com.
