{"url":"https://nivawealth.com/firms/sumnicht-and-associates-111421","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111421","regulatoryAum":107891921,"crd":"111421","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5026096","suffix":null,"lastName":"JONES","firstName":"SCOTT","middleName":"RICHARD"},{"crd":"1315421","suffix":null,"lastName":"SUMNICHT","firstName":"VERNON","middleName":"COFFEY"}],"total":2,"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":"2021-03-19","regulatoryAum":369943844,"clients":163,"employees":4,"offices":2},{"filedOn":"2022-04-27","regulatoryAum":341751126,"clients":103,"employees":3,"offices":2},{"filedOn":"2023-03-06","regulatoryAum":255112539,"clients":25,"employees":4,"offices":2},{"filedOn":"2024-03-22","regulatoryAum":287175336,"clients":25,"employees":4,"offices":2},{"filedOn":"2025-03-17","regulatoryAum":100444400,"clients":10,"employees":4,"offices":2},{"filedOn":"2026-03-27","regulatoryAum":107891921,"clients":10,"employees":3,"offices":3}],"secFileNumber":"801-60309","legalName":"Sumnicht & Associates, LLC","displayName":"Sumnicht & Associates","slug":"sumnicht-and-associates-111421","website":"https://sumnicht.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5485 W Grande Market Drive, Suite D","city":"Appleton","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"54913"},"tradeNames":[],"registration":{"secApproved":"25 May 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BROCHURE","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Special Projects","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028338","versionId":1028338,"submittedOn":"2026-03-27","documentName":"SUMNICHT & ASSOCIATES, LLC ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:09:58.226651+00:00","documents":[{"name":"SUMNICHT & ASSOCIATES, LLC ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028338","versionId":1028338,"submittedOn":"2026-03-27"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=893188","versionId":893188,"submittedOn":null}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":97808761}],"custodyNote":"Sumnicht & Associates has custody of $47.5M for 5 clients.","otherCustodians":[],"leadership":[{"name":"Vernon Sumnicht","title":"Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer","crd":"1315421"}],"ownership":[{"label":"Sumnicht Holdings, LLC","detail":"Holding company in the 75% or more ownership band and a control person, since January 2005."},{"label":"Vernon Sumnicht","detail":"Indirect owner: a owner of Sumnicht Holdings, LLC in the 50% to 75% band and a control person, since January 2005.","parent":"Sumnicht Holdings, LLC"},{"label":"Debra Sumnicht","detail":"Indirect owner: a passive owner of Sumnicht Holdings, LLC in the 25% to 50% band and a control person, since January 2005.","parent":"Sumnicht Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"5485 W Grande Market Drive, Suite D","city":"Appleton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"920-731-4455","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":91},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":8,"detail":"Annuities, Promissory Notes"}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111421/PDF/111421.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028338","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sumnicht & Associates have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sumnicht & Associates offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Sumnicht & Associates charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sumnicht & Associates use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sumnicht & Associates have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sumnicht & Associates invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sumnicht & Associates?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sumnicht & Associates get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Sumnicht & Associates?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 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."}