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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SUMMIT STRATEGIES GROUP

SUMMIT STRATEGIES INC, CRD 107161

ST LOUIS, MO

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Search this name across graphsid dfx:ria:23ddeac0-a952-dcfd-2477-23d2c06e1e75

Data as of May 4, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 2
Observed: Mar 30, 2012 to May 4, 2018
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Summit Strategies Group

Private equity manager · shared crd

Allocatorsidentity

Summit Strategies Group

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.9BItem 5.F on the latest filing (2018-05-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 62
Advisory employees: 55
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 25
Private funds: 10Schedule D 7.B(1)
Private fund GAV: $999Mgross asset value as reported per fund; never fund size
Custody, client assets: $942M
SEC number: 801-49120
CRD: 107161
Filings on the tape: 20
First filed: Mar 30, 2012
Latest filed: May 4, 2018
Organised: Corporation, Missouri

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SUMMIT STRATEGIC SOLUTIONS, LLC - LIQUID DIVERSIFIERS SERIES	Other Private Fund	$24.2M	May 4, 2018	11	Mar 31, 2014	reported	021-184253

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HAYDEN, TIMOTHY, ANDREW	PRINCIPAL, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	Na	yes	08/2000	May 15, 2015	May 4, 2018
HOLMES, DANIEL, JOSEPH	Principal	B	yes	04/1995	Mar 30, 2012	May 4, 2018
HOLMES, STEPHEN, PATRICK	PRINCIPAL, MANAGING DIRECTOR, PRESIDENT	C	yes	04/1995	Mar 30, 2012	May 4, 2018
MOORE, CHRISTOPHER, ADAM	PRINCIPAL, MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER	Na	yes	09/2014	May 15, 2015	May 4, 2018
POLLIHAN, THOMAS, PATRICK	PRINCIPAL, MANAGING DIRECTOR	B	yes	04/1996	Mar 30, 2012	May 4, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SSG PRIVATE SOLUTIONS, LLC	n/a	n/a	n/a	Y	yes	n/a
SUMMIT PRIVATE CAPITAL, LLC	n/a	n/a	n/a	Y	yes	n/a
SUMMIT STRATEGIC SOLUTIONS LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$3.9B	$3.9B	62	55	0	10	$999M
2016	Mar 27, 2017	$3.1B	$3.1B	69	58	n/a	10	$878M
2015	Mar 28, 2016	$3.1B	$3.1B	68	51	n/a	9	$679M
2014	Mar 31, 2015	$1.5B	$1.5B	66	65	n/a	5	$684M
2013	Mar 31, 2014	$1.3B	$1.3B	70	69	n/a	5	$555M
2012	Apr 1, 2013	$940M	$940M	60	59	n/a	3	$247M
2011	Mar 30, 2012	$229M	$229M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$3.9B	$3.1B	24.2%	$1.5B	37.6%	62	69	0	n/a

Relationships

Advises (1)

→ SUMMIT STRATEGIC SOLUTIONS, LLC - LIQUID DIVERSIFIERS SERIESPrivate fundOther Private Fund, IA
Mar 31, 2014 to presentfactForm ADV

Controls (5)

← HOLMES, STEPHEN, PATRICKOwnerPRINCIPAL, MANAGING DIRECTOR, PRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← HOLMES, DANIEL, JOSEPHOwnerPRINCIPAL, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← POLLIHAN, THOMAS, PATRICKOwnerPRINCIPAL, MANAGING DIRECTOR, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← MOORE, CHRISTOPHER, ADAMOwnerPRINCIPAL, MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER, ownership code NA, individual
May 15, 2015 to presentfactForm ADV
← HAYDEN, TIMOTHY, ANDREWOwnerPRINCIPAL, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, ownership code NA, individual
May 15, 2015 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23ddeac0-a952-dcfd-2477-23d2c06e1e75
First observed: Mar 30, 2012
Last observed: May 4, 2018 102 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SUMMIT STRATEGIES GROUP

SUMMIT STRATEGIES INC, CRD 107161

ST LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:23ddeac0-a952-dcfd-2477-23d2c06e1e75

Data as of May 4, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SUMMIT STRATEGIC SOLUTIONS, LLC - LIQUID DIVERSIFIERS SERIES

Other Private Fund

$24.2M

May 4, 2018

Mar 31, 2014

reported

021-184253

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAYDEN, TIMOTHY, ANDREW

PRINCIPAL, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR

yes

08/2000

May 15, 2015

May 4, 2018

HOLMES, DANIEL, JOSEPH

Principal

yes

04/1995

Mar 30, 2012

May 4, 2018

HOLMES, STEPHEN, PATRICK

PRINCIPAL, MANAGING DIRECTOR, PRESIDENT

yes

04/1995

Mar 30, 2012

May 4, 2018

MOORE, CHRISTOPHER, ADAM

PRINCIPAL, MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER

yes

09/2014

May 15, 2015

May 4, 2018

POLLIHAN, THOMAS, PATRICK

PRINCIPAL, MANAGING DIRECTOR

yes

04/1996

Mar 30, 2012

May 4, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SSG PRIVATE SOLUTIONS, LLC

n/a

yes

n/a

SUMMIT PRIVATE CAPITAL, LLC

n/a

yes

n/a

SUMMIT STRATEGIC SOLUTIONS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$3.9B

$999M

2016

Mar 27, 2017

$3.1B

n/a

$878M

2015

Mar 28, 2016

$3.1B

n/a

$679M

2014

Mar 31, 2015

$1.5B

n/a

$684M

2013

Mar 31, 2014

$1.3B

n/a

$555M

2012

Apr 1, 2013

$940M

n/a

$247M

2011

Mar 30, 2012

$229M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$3.9B

$3.1B

24.2%

$1.5B

37.6%

n/a