Summit Investments and Financial Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,300,000
Clients
33
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
33
HighAverage account size
$312,121
About
Summit Investments and Financial Planning is a state-registered independent adviser that provides discretionary investment management and written financial planning to individuals, businesses and trusts. The firm reports managing assets on a percentage-of-AUM or flat-fee basis, with custodial trading and fee withdrawal handled through Charles Schwab.
The firm’s investment process combines fundamental, macro (top-down) and cyclical analysis and employs both passive and active strategies, using mutual funds, ETFs, individual securities, bonds and certificates of deposit to construct portfolios. It operates with discretionary trading authority, conducts regular account reviews, and applies tactical overweighting or underweighting based on identified macro factors.
Although organized as a solo adviser, the brochure describes services and investment capabilities relevant to a broader set of non‑retail clients — for example, discussion of municipal bonds, bank obligations and CDs alongside acceptance of business and trust accounts — indicating the firm works with corporate, banking, municipal, charitable and other institutional account types that are less common for firms of this size. The adviser also notes a CFA designation and an insurance license that is not used to sell products to clients, and it discloses block trading practices and quarterly statements via its Schwab custodian.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Passive / index investing
Active portfolio management
Fee options
Flat annual fee ranging from $0 to $10,000 depending on complexity
$0 - $999,999: 1.25% $1,000,000+: 1.0%
Minimum fee: Flat annual fee ranging from $0 to $10,000 depending on complexity
Main office location
Summit Investments and Financial Planning
2853 Crows Nest Cir
Uniontown OH 44685, United States
Number of offices
1
Most active in
Summit Investments and Financial Planning has reported serving >5 clients in these states in the last 12 months.
Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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