{ "crd_number": 289269, "slug": "summerhaven-investment-management-llc-stamford-ct-289269", "primary_business_name": "SUMMERHAVEN INVESTMENT MANAGEMENT, LLC", "legal_name": "SUMMERHAVEN INVESTMENT MANAGEMENT, LLC", "dbas": [], "city": "Stamford", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2017-09-12", "years_registered": 9, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 176198488.0, "raum_discretionary": 176198488.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 8, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 176198488.0, "count": 1, "description": "INSTITUTION GOVERNED BY AND ACCOUNTABLE TO ITS MEMBER COUNTRIES AND PROMOTES FINANCIAL STABILITY.", "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "CT" ], "websites": [ "https://linkedin.com/COMPANY/SUMMERHAVEN-INVESTMENT-MANAGEMENT", "https://summerhavenim.com", "https://summerhavenindex.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289269", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "STAMFORD", "url": "https://advisorcensus.com/firm/summerhaven-investment-management-llc-stamford-ct-289269", "display_name": "Summerhaven Investment Management, LLC", "summary": "Summerhaven Investment Management, LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Summerhaven Investment Management, LLC (CRD 289269): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Summerhaven Investment Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Summerhaven Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "How much does Summerhaven Investment Management, LLC charge?", "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Asset-based fee: 0.2% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Summerhaven Investment Management, LLC located?", "a": "Summerhaven Investment Management, LLC's principal office is in Stamford, CT, according to its Form ADV." }, { "q": "Is Summerhaven Investment Management, LLC registered with the SEC or a state?", "a": "Summerhaven Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 289269." }, { "q": "How much does Summerhaven Investment Management, LLC manage?", "a": "Summerhaven Investment Management, LLC reports $176,198,488 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)." }, { "q": "How have Summerhaven Investment Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Summerhaven Investment Management, LLC: Regulatory assets under management: $129,370,249 in the October 2021 data and $176,198,488 in the October 2026 data, up 36%. Total employees: 10 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Summerhaven Investment Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: other (1)." }, { "q": "Which custodians does Summerhaven Investment Management, LLC use?", "a": "Summerhaven Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists The Northern Trust Co. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Summerhaven Investment Management, LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289269" }, { "q": "Does Summerhaven Investment Management, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"Although SummerHaven does not maintain a specific minimum dollar value of assets or other formal requirements for opening or maintaining a separately managed account\"" }, { "q": "What changed in Summerhaven Investment Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 6 to 5." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 129370249.0, "total_employees": 10, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 187629768.0, "total_employees": 10, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 168479314.0, "total_employees": 10, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 156771224.0, "total_employees": 8, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 163736530.0, "total_employees": 9, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 176198488.0, "total_employees": 8, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 6 to 5." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 27, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": "0.2% of assets a year", "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.2% of assets a year" ], "quotes": [ "For the provision of its investment advisory services to each Securities Client SMA, SummerHaven receives an asset-based investment management fee equal to 0.20% per annum of the Securities Client SMA’s net assets" ] }, { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "Although SummerHaven does not maintain a specific minimum dollar value of assets or other formal requirements for opening or maintaining a separately managed account" ] } ], "values": { "tiers": [ { "min": null, "max": null, "rate_pct": 0.2 } ], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "For the provision of its investment advisory services to each Securities Client SMA, SummerHaven receives an asset-based investment management fee equal to 0.20% per annum of the Securities Client SMA’s net assets", "Although SummerHaven does not maintain a specific minimum dollar value of assets or other formal requirements for opening or maintaining a separately managed account" ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "The Northern Trust Co.", "name_as_filed": "THE NORTHERN TRUST CO.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/summerhaven-investment-management-llc-stamford-ct-289269.md", "clients": [ { "type": "other", "label": "Other", "count": 1, "fewer_than_5": true, "raum": 176198488.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289269", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }