Summitry, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 128586
· SEC file 801-62398
· Foster City, CA
· WWW.SUMMITRY.COM
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ADV data as of Jun 30, 2026
- Regulatory AUM
- $3.4B
- Discretionary
- $3.4B
- Clients
- 1,327
- Avg AUM / client
- $2.5M
- Accounts
- 4,031
- Employees
- 46
AUM over time
$705M
$3.4B
Mar 29, 2012
Jun 30, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 548 | $405M | 12.1% |
| High net worth individuals | 745 | $2.7B | 81.9% |
| Investment companies | 1 | $80.3M | 2.4% |
| Pension and profit sharing plans | 12 | $27.9M | 0.83% |
| Charitable organizations | 12 | $63.3M | 1.89% |
| Corporations and other businesses | 9 | $30.7M | 0.92% |
People (31)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Colin Matthew Higgins | President, Ceo | Sep 2003 (23y) | Less than 5% | |
| Rouse, Jennifer, Lynn | Chief Compliance Officer | Mar 2009 (17y) | Less than 5% | |
| Kurt Hoefer | Registered representative | CFA | May 2006 (20y) | |
| Michael Kon | Registered representative | CFA | Oct 2019 (7y) | |
| Thomas Emmett Guinane | Registered representative | Apr 2022 (4y) | ||
| Daniel Spector Franson | Registered representative | CFP | Dec 2022 (4y) | |
| Tyler Patterson | Registered representative | CFP | Jul 2023 (3y) | |
| Kenneth Marvin Vander Kooi | Registered representative | CFP | Feb 2024 (2y) | |
| William Berg | Registered representative | May 2024 (2y) | ||
| Claire Michelle Shifren | Registered representative | CFP | Nov 2024 (2y) | |
| Eric Lee Jungling | Registered representative | Nov 2024 (2y) | ||
| John Donovan Stannard | Registered representative | Nov 2024 (2y) | ||
| Thao Da Pham | Registered representative | CFP | Dec 2024 (2y) | |
| Alex Barth Katz | Registered representative | Jan 2025 (2y) | ||
| Cynthia Wallace Duncan | Registered representative | Jan 2025 (2y) | ||
| Emily Kathryn Hazelroth | Registered representative | CFP | Jan 2025 (2y) | |
| Alexander Scott Leitzes | Registered representative | Jan 2025 (2y) | ||
| Joseph A Martin | Registered representative | Jan 2025 (2y) | ||
| Mary Lao Miranda | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Christopher Dalmar Moody | Registered representative | May 2025 (1y) | ||
| Archana Ravindra Turaga | Registered representative | May 2025 (1y) | ||
| Allison Meili Uozumi | Registered representative | Dec 2025 (1y) | ||
| Jack Shujie Zhao | Registered representative | CFA | Jan 2026 (1y) | |
| Robert Clifton Hammack | Registered representative | Jan 2026 (1y) | ||
| Alexander A Tran | Registered representative | Mar 2026 (0y) | ||
| James Michael Vandevoorde | Registered representative | Mar 2026 (0y) | ||
| Lori Delynn Russell | Registered representative | CFP | Mar 2026 (0y) | |
| Jacob Maxwell Kark | Registered representative | CFP | May 2026 (0y) | |
| Shan Taya Cowan | Registered representative | Jun 2026 (0y) | ||
| Jon Paul Theriault | Registered representative | Jul 2026 (0y) | ||
| Rohit Bharat Mansukhani | Registered representative | CFA | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Aspen Standard Group, Llc | Member | Nov 2024 | A | 75% or more |
| Aspen Standard Group Topco, Llc | Member | Nov 2024 | B | ≈ 56.25% – 100% via Aspen Standard Group, Llc |
| Evergreen Solutions Group Topco Ii, Llc | Member | Nov 2024 | B | ≈ 42.19% – 100% via Aspen Standard Group Topco, Llc |
| Alpine Investors Viii, Lp | Member | May 2021 | B | ≈ 31.64% – 100% via Evergreen Solutions Group Topco Ii, Llc |
| Alpine Investors Viii A Splitter I, Lp | Member | Jun 2021 | B | ≈ 31.64% – 100% via Evergreen Solutions Group Topco Ii, Llc |
| Aspen Standard Group Intermediate Co. Llc | Member | Nov 2024 | B | ≈ 56.25% – 100% via Aspen Standard Group, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Aspen Standard Group Topco, Llc: 75% – 100% of Aspen Standard Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Evergreen Solutions Group Topco Ii, Llc: 75% – 100% of Aspen Standard Group Topco, Llc × 75% – 100% of Aspen Standard Group, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Alpine Investors Viii, Lp: 75% – 100% of Evergreen Solutions Group Topco Ii, Llc × 75% – 100% of Aspen Standard Group Topco, Llc × 75% – 100% of Aspen Standard Group, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Alpine Investors Viii A Splitter I, Lp: 75% – 100% of Evergreen Solutions Group Topco Ii, Llc × 75% – 100% of Aspen Standard Group Topco, Llc × 75% – 100% of Aspen Standard Group, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Aspen Standard Group Intermediate Co. Llc: 75% – 100% of Aspen Standard Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 1.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $3.1B (94% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 30, 2026.
View current Form ADV (SEC/IAPD) ↗