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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SUMMIT FINANCIAL CONSULTANTS, INC.

CRD 134192

WESTLAKE VILLAGE, CA

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:665de057-4e13-682e-2f1f-b937f645c9a1

Data as of Mar 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 8
On other graphs: 1
Observed: Mar 25, 2015 to Mar 11, 2022
34 observations

Across DFX

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

Allocatorsidentity

Summit Financial Consultants, Inc.

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: $264MItem 5.F on the latest filing (2022-03-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $263M
Private client RAUM: $222MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 659
Individual clients: 122
High net worth clients: 61
Custody, client assets: $122M
SEC number: 801-85186
CRD: 134192
Filings on the tape: 34
First filed: Mar 25, 2015
Latest filed: Mar 11, 2022
Organised: Corporation, California

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
ELMOUCHI, NEIL, ERIC	CEO, CHAIRMAN, SENIOR WEALTH ADVISOR & CHIEF COMPLIANCE OFFICER	D	yes	07/2016	Mar 25, 2015	Mar 11, 2022
KLEIN, CODY, MATTHEW	SENIOR WEALTH ADVISOR	A	yes	12/2019	Jun 23, 2020	Mar 11, 2022
LAU, KIMBERLY, ALLISON	CHIEF OPERATING OFFICER	C	yes	07/2016	Jul 1, 2016	Mar 11, 2022

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
2021	Mar 11, 2022	$264M	$263M	9	2	0	n/a	n/a
2020	Mar 24, 2021	$228M	$226M	10	4	0	n/a	n/a
2019	Mar 27, 2020	$198M	$197M	10	4	0	n/a	n/a
2018	Mar 22, 2019	$176M	$160M	13	4	0	n/a	n/a
2017	Mar 29, 2018	$221M	$199M	13	4	0	n/a	n/a
2016	Mar 30, 2017	$211M	$182M	8	5	n/a	n/a	n/a
2015	Jan 21, 2016	$132M	$125M	6	4	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
2021	$264M	$228M	16.0%	$176M	14.6%	9	10	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC	2	Dec 22, 2022	Jun 17, 2022	WESTLAKE VILLAGE, CA	Team lift out	Other	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Mar 9, 2015	Feb 17, 2010	AGOURA HILLS, CA	Team lift out	Other	0.0%

Relationships

Controls (3)

← ELMOUCHI, NEIL, ERICOwnerCEO, CHAIRMAN, SENIOR WEALTH ADVISOR & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 25, 2015 to presentfactForm ADV
← LAU, KIMBERLY, ALLISONOwnerCHIEF OPERATING OFFICER, ownership code C, individual
Jul 1, 2016 to presentfactForm ADV
← KLEIN, CODY, MATTHEWOwnerSENIOR WEALTH ADVISOR, ownership code A, individual
Jun 23, 2020 to presentfactForm ADV

Registered with (8)

← NEIL ERIC ELMOUCHIAdvisorregistration: previous registration
Nov 30, 1998 to Dec 22, 2022factForm ADV
← Christine Emma QuinteroAdvisorregistration: previous registration
Apr 23, 2021 to Dec 22, 2022factForm ADV
← CODY MATTHEW KLEINAdvisorregistration: previous registration
Jun 28, 2016 to Dec 22, 2022factForm ADV
← VIDA MARIA JATULISAdvisorregistration: previous registration
Apr 24, 2019 to Feb 24, 2022factForm ADV
← KARL PATRIK ORLOWSKIAdvisorregistration: previous registration
Feb 17, 2010 to May 28, 2019factForm ADV
← JEFFERY M SORENSENAdvisorregistration: previous registration
Jul 1, 2016 to Feb 15, 2018factForm ADV
← MICHELE ANN FORTNEY-LEACHAdvisorregistration: previous registration
Sep 3, 2002 to Mar 10, 2015factForm ADV
← GARRY STEVEN EVANSAdvisorregistration: previous registration
Mar 6, 2009 to Mar 6, 2012factForm ADV

Moved with (2)

→ CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Dec 22, 2022 to Jun 17, 2022factForm ADV
← LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Mar 9, 2015 to Feb 17, 2010factForm ADV

Dated events

Occurred
Dec 22, 2022
Team lift-out
2 advisors left Summit Financial Consultants, Inc. (Westlake Village, CA) for Creative Planning Institutional Advisors, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 22, 2022
Advisor changed firm
Cody Matthew Klein left Summit Financial Consultants, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Neil Eric Elmouchi left Summit Financial Consultants, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Christine Emma Quintero left Summit Financial Consultants, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2022
Advisor changed firm
Vida Maria Jatulis left Summit Financial Consultants, Inc. for Mainstreet Financial Planning, Inc. (registered 2022-03-08)
Form ADVobserved 4 days ago
Occurred
Jun 23, 2020
Control person joined
Matthew Cody Klein (Wealth Advisor) appeared on Schedule A of Summit Financial Consultants, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 20, 2020
Control person left
Marie Angela Dowling (Chief Complaince Officer) no longer on Schedule A of Summit Financial Consultants, Inc. (listed 2020-01-08, absent 2020-03-20)
Form ADVobserved 4 days ago
Occurred
Mar 25, 2015
First Form ADV filing
Summit Financial Consultants, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:665de057-4e13-682e-2f1f-b937f645c9a1
First observed: Mar 25, 2015
Last observed: Mar 11, 2022 55 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 FINANCIAL CONSULTANTS, INC.

CRD 134192

WESTLAKE VILLAGE, CA

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:665de057-4e13-682e-2f1f-b937f645c9a1

Data as of Mar 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELMOUCHI, NEIL, ERIC

CEO, CHAIRMAN, SENIOR WEALTH ADVISOR & CHIEF COMPLIANCE OFFICER

yes

07/2016

Mar 25, 2015

Mar 11, 2022

KLEIN, CODY, MATTHEW

SENIOR WEALTH ADVISOR

yes

12/2019

Jun 23, 2020

Mar 11, 2022

LAU, KIMBERLY, ALLISON

CHIEF OPERATING OFFICER

yes

07/2016

Jul 1, 2016

Mar 11, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 11, 2022

$264M

$263M

n/a

2020

Mar 24, 2021

$228M

$226M

n/a

2019

Mar 27, 2020

$198M

$197M

n/a

2018

Mar 22, 2019

$176M

$160M

n/a

2017

Mar 29, 2018

$221M

$199M

n/a

2016

Mar 30, 2017

$211M

$182M

n/a

2015

Jan 21, 2016

$132M

$125M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$264M

$228M

16.0%

$176M

14.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

Dec 22, 2022

Jun 17, 2022

WESTLAKE VILLAGE, CA

Team lift out

Other

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Mar 9, 2015

Feb 17, 2010

AGOURA HILLS, CA

Team lift out

Other

0.0%