{ "crd_number": 110188, "slug": "summit-investment-management-ltd-greenfield-wi-110188", "primary_business_name": "SUMMIT INVESTMENT MANAGEMENT, LTD.", "legal_name": "SUMMIT INVESTMENT MANAGEMENT, LTD.", "dbas": [], "city": "Greenfield", "state": "WI", "country": "United States", "cbsa_code": "33340", "metro": { "cbsa_code": "33340", "common_name": "Milwaukee", "msa_name": "Milwaukee-Waukesha, WI", "path": "/advisors/wi/milwaukee" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2012-02-29", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-09-28", "carried_forward": false, "raum_total": 87011836.0, "raum_discretionary": 87011836.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 2266614.0, "count": 5 }, "individuals": { "raum": 66402803.0, "count": 156 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 18083270.0, "count": 6 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 259149.0, "count": 2, "fewer_than_5": true }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 2, "states_registered": [ "CA", "CO", "FL", "GA", "IL", "IN", "NC", "NY", "OH", "VA", "WA", "WI" ], "websites": [ "https://linkedin.com/COMPANY/SUMMITINVESTMENTMANAGEMENT", "https://suminvest.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110188", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "GREENFIELD", "url": "https://advisorcensus.com/firm/summit-investment-management-ltd-greenfield-wi-110188", "display_name": "Summit Investment Management, Ltd.", "summary": "Summit Investment Management, Ltd. is a state-registered investment advisory firm in Greenfield, WI, registered since 2012, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 28, 2026.", "citation": "AdvisorCensus. Summit Investment Management, Ltd. (CRD 110188): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Summit Investment Management, Ltd. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Summit Investment Management, Ltd. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Summit Investment Management, Ltd. located?", "a": "Summit Investment Management, Ltd.'s principal office is in Greenfield, WI, according to its Form ADV." }, { "q": "Is Summit Investment Management, Ltd. registered with the SEC or a state?", "a": "Summit Investment Management, Ltd. is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 110188." }, { "q": "How much does Summit Investment Management, Ltd. manage?", "a": "Summit Investment Management, Ltd. reports $87,011,836 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (100% discretionary)." }, { "q": "What types of clients does Summit Investment Management, Ltd. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (156); high net worth individuals (6); charitable organizations (5)." }, { "q": "Does Summit Investment Management, Ltd. report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/110188" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/summit-investment-management-ltd-greenfield-wi-110188.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 156, "fewer_than_5": false, "raum": 66402803.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 6, "fewer_than_5": false, "raum": 18083270.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 5, "fewer_than_5": false, "raum": 2266614.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": true, "raum": 259149.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 2 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/110188", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }