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SUMMIT FINANCIAL ADVISORS, INC.
CRD 145007File 801-96206
APPROVED
Retail clients
Disclosure events
Filing as of Jun 9, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$232.8M
Below cohort median (national)
Discretionary AUM
$231.0M
Non-discretionary $1.9M
Clients
138
417 accounts
Employees
4
Below cohort median in OH
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 6, 2015
- Principal office
- 300 N. MAIN STREET, SUITE 500, MIDDLETOWN, OH, 45042
- Phone
- 513-424-6300
- Website
- HTTP://SFADVISORSINC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $232.8M
- Discretionary AUM
- $231.0M
- Non-discretionary AUM
- $1.9M
- Discretionary accounts
- 386
- Non-discretionary accounts
- 31
- Total accounts
- 417
- AUM per client
- $1.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 47 | $207.2M |
| Individuals (other than high net worth individuals) | 91 | $24.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 139 | 138 | decreased by1 |
| Jul 1, 2026 | Clients | 137 | 139 | increased by2 |
| Jul 1, 2026 | AUM | $199,387,942 | $232,826,293 | increased by$33,438,351 |
| Jul 1, 2026 | Accounts | 426 | 417 | decreased by9 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 129 | 137 | increased by8 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $188,823,434 | $199,387,942 | increased by$10,564,508 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 382 | 426 | increased by44 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 111 | 129 | increased by18 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $166,881,843 | $188,823,434 | increased by$21,941,591 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 405 | 382 | decreased by23 |
| Jul 1, 2022 | Clients | 114 | 111 | decreased by3 |
| Jul 1, 2022 | AUM | $163,722,161 | $166,881,843 | increased by$3,159,682 |
| Jul 1, 2022 | Accounts | 393 | 405 | increased by12 |
| Jul 1, 2021 | Disclosures | No | Yes | |
| Jul 1, 2021 | Clients | 120 | 114 | decreased by6 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SUMMIT FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SUMMIT FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.