# Summerhaven Investment Management, LLC

> 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.

- CRD: 289269
- Filed as: SUMMERHAVEN INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Stamford, CT
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/289269
- AdvisorCensus page: https://advisorcensus.com/firm/summerhaven-investment-management-llc-stamford-ct-289269

## Quick answers

**How is Summerhaven Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Summerhaven Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**What does Summerhaven Investment Management, LLC's brochure say about its fees?**
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.

**Where is Summerhaven Investment Management, LLC located?**
Summerhaven Investment Management, LLC's principal office is in Stamford, CT, according to its Form ADV.

**Is Summerhaven Investment Management, LLC registered with the SEC or a state?**
Summerhaven Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 289269.

**How much does Summerhaven Investment Management, LLC manage?**
Summerhaven Investment Management, LLC reports $176,198,488 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).

**How have Summerhaven Investment Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Summerhaven Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: other (1).

**Which custodians does Summerhaven Investment Management, LLC use?**
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.

**Does Summerhaven Investment Management, LLC report any disciplinary disclosures?**
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

**Does Summerhaven Investment Management, LLC state an account minimum?**
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"

**What changed in Summerhaven Investment Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 6 to 5.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- Asset-based fee: 0.2% of assets a year

> 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

- Account minimum: None

> Although SummerHaven does not maintain a specific minimum dollar value of assets or other formal requirements for opening or maintaining a separately managed account

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- The Northern Trust Co.

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.

### Regulatory assets under management (Item 5.F)
- Total: $176,198,488
- Discretionary: $176,198,488
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Other | 1 | $176,198,488 |

### Advisory services (Item 5.G)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2017 (9 years)
- Employees: 8 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289269

### Websites listed on Form ADV (Item 1.I)
- summerhavenim.com
- summerhavenindex.com
- LinkedIn @SUMMERHAVEN-INVESTMENT-MANAGEMENT

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $129,370,249 | 10 | March 31, 2021 |
| October 2022 | $187,629,768 | 10 | March 31, 2022 |
| October 2023 | $168,479,314 | 10 | March 30, 2023 |
| October 2024 | $156,771,224 | 8 | March 28, 2024 |
| October 2025 | $163,736,530 | 9 | March 27, 2025 |
| October 2026 | $176,198,488 | 8 | March 27, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 6 to 5.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Summerhaven Investment Management, LLC (CRD 289269): Form ADV filing data as of October 2026.