DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Summit Equities Inc

Former SEC-registered adviserParsippany, New JerseyCRD 11039SEC 801-39162IAPD
Legal name Summit Equities, Inc.
Latest filing Jan 21, 2019
First filing on the tape Jan 12, 2012 · 33 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$3.0B as of Mar 30, 2018
Jan 12, 2012$1.8B then
HNW client RAUM$0 as of Jan 21, 2019
Mar 30, 2018$1.8B then
State-registered IARs (5.B.3)0 as of Jan 21, 2019
Mar 26, 201370 then
Employees (5.A)0 as of Jan 21, 2019
Mar 26, 201375 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 70 to 0offices 14 to 0
Practice profile
derived from the filing of Jan 21, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Collin Bremer · Chief Operations Officercontrol
    since 09/2007 · owns less than 5%
  • Stanley Gregor · President, Ceo And Directorcontrol
    since 10/2016 · owns less than 5%
  • Miriam Lefkowitz · Chief Legal Officercontrol
    since 09/2014 · owns less than 5%
  • Joseph Francis Rowek · Vp Financial Planningcontrol
    since 01/1999 · owns less than 5%
  • Mara Deborah Stempler · Chief Financial Officercontrol
    since 09/2015 · owns less than 5%
  • Steven Weinman · Chairman Of The Board, Chief Investment Officercontrol
    since 11/1982 · owns 50% to 75%
  • Craig Barry Weiss · Chief Compliance Officercontrol
    since 06/2017 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list Summit Equities Inc as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 6518.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • Advisory employees · 76 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Advisory activities · 3 to 1
    Jul 18, 2018 to Jan 21, 2019
  • BD registered reps · 118 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Charity clients · 6 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Corporate clients · 53 to 0
    Jul 18, 2018 to Jan 21, 2019
  • HNW clients · 520 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Individual clients · 2,735 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Pension plan clients · 58 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Assets in custody · $2.2B to $0
    Jul 18, 2018 to Jan 21, 2019
  • Employees · 222 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Financial planning clients · 1-10 to 0
    Jul 18, 2018 to Jan 21, 2019
  • State-registered IARs · 70 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Other offices · 14 to 0
    Jul 18, 2018 to Jan 21, 2019
  • Discretionary RAUM · 1428019567.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • HNW RAUM · $1.8B to $0
    Jul 18, 2018 to Jan 21, 2019
  • Individual RAUM · $1.1B to $0
    Jul 18, 2018 to Jan 21, 2019
  • Non-discretionary RAUM · 1594386057.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • Pension RAUM · $38.7M to $0
    Jul 18, 2018 to Jan 21, 2019
  • RAUM · 3022405624.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • Wrap assets (manager) · 0.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Jul 18, 2018 to Jan 21, 2019
  • Assets in custody · $2.0B to $2.2B
    Jun 26, 2018 to Jul 18, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 30, 2018 to Jun 26, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 30, 2018 to Jun 26, 2018
  • Accounts · 5,951 to 6,518
    Sep 14, 2017 to Mar 30, 2018
  • Advisory employees · 80 to 76
    Sep 14, 2017 to Mar 30, 2018
  • BD registered reps · 80 to 118
    Sep 14, 2017 to Mar 30, 2018
  • Charity clients · unset to 6.0
    Sep 14, 2017 to Mar 30, 2018
  • Corporate clients · unset to 53.0
    Sep 14, 2017 to Mar 30, 2018
  • HNW clients · unset to 520.0
    Sep 14, 2017 to Mar 30, 2018
  • Individual clients · unset to 2735.0
    Sep 14, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 58.0
    Sep 14, 2017 to Mar 30, 2018
  • Assets in custody · $1.2B to $2.0B
    Sep 14, 2017 to Mar 30, 2018
  • Employees · 250 to 222
    Sep 14, 2017 to Mar 30, 2018
  • Financial planning clients · 0 to 1-10
    Sep 14, 2017 to Mar 30, 2018
  • State-registered IARs · 80 to 70
    Sep 14, 2017 to Mar 30, 2018
  • Other offices · unset to 14.0
    Sep 14, 2017 to Mar 30, 2018
  • Discretionary RAUM · $1.1B to $1.4B
    Sep 14, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 1824141360.0
    Sep 14, 2017 to Mar 30, 2018
Signals
2 dated events
  • Summit Equities Inc reported 0 offices beyond its principal office, down from 14 (2018-07-18 to 2019-01-21)
    Jan 21, 2019 · Office count change · derived
  • Summit Equities Inc reported 0 state-registered advisory representatives, down from 70 (2018-07-18 to 2019-01-21)
    Jan 21, 2019 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026