# Sumo Investment Management LLC

> Sumo Investment Management LLC is an exempt reporting adviser in Chicago, IL, filing reports since 2024. Exempt reporting advisers do not report regulatory assets under management on Form ADV.

- CRD: 328651
- Filed as: SUMO INVESTMENT MANAGEMENT LLC
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: September 25, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/328651
- AdvisorCensus page: https://advisorcensus.com/firm/sumo-investment-management-llc-chicago-il-328651

## Quick answers

**Where is Sumo Investment Management LLC located?**
Sumo Investment Management LLC's principal office is in Chicago, IL, according to its Form ADV.

**How does Sumo Investment Management LLC report to regulators?**
Sumo Investment Management LLC is an exempt reporting adviser, filing reports since 2024. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 328651.

**Does Sumo Investment Management LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/328651

**What changed in Sumo Investment Management LLC's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Firm details
- Reporting since: 2024 (2 years)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/328651

### Websites listed on Form ADV (Item 1.I)
- sumo.co

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | Not reported | Not reported | July 26, 2024 |
| October 2025 | Not reported | Not reported | April 1, 2025 |
| October 2026 | Not reported | Not reported | September 25, 2026 |


## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sumo Investment Management LLC (CRD 328651): Form ADV filing data as of October 2026.