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.

SEC-registered adviser

Summitry, LLC

Independent wealth managerFoster City, CaliforniaCRD 128586SEC 801-62398websiteIAPD
Latest filing Jun 30, 2026
First filing on the tape Mar 29, 2012 · 45 filings
SEC status approved since Sep 26, 2003
RAUM
$3.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$3.1B individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
46
20 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$3.4B as of Jun 30, 2026
Mar 29, 2012$705M then
HNW client RAUM$2.7B as of Jun 30, 2026
Feb 7, 2018$1.0B then
State-registered IARs (5.B.3)24 as of Jun 30, 2026
Feb 12, 201311 then
Employees (5.A)46 as of Jun 30, 2026
Feb 12, 201320 then
Private funds: no history
RAUM +11% over the last fiscal year+19% a year over threeIARs 20 to 24offices 1 to 2
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$831,173derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
9.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.7B82%
  • Individuals$405M12%
  • Investment companies$80.3M2.4%
  • Charitable organizations$63.3M1.9%
  • Corporations and businesses$30.7M0.9%
  • Pension and profit-sharing plans$27.9M0.8%
Individual clients
548reported
HNW clients
745reported
Pension plan clients
12reported
Charitable clients
12reported
Accounts
4,031reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.94 fund_share=0.02 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Kurt HoeferChartered Financial AnalystSan Mateo, CaMay 8, 200631 y1
Michael KonChartered Financial AnalystSan Mateo, CaOct 10, 201913 y0
Thomas Emmett GuinaneFoster City, CaApr 13, 202215 y1
Daniel Spector-FransonCertified Financial PlannerFoster City, CaDec 20, 202216 y2
Tyler PattersonCertified Financial PlannerFoster City, CaJul 24, 202310 y2
Kenneth Marvin Vander KooiCertified Financial PlannerFoster City, CaFeb 27, 202413 y1
William BergFoster City, CaMay 18, 202414 y0
Claire Michelle ShifrenCertified Financial PlannerFoster City, Ca Nov 4, 202422 y0
Thao Da PhamCertified Financial PlannerSan Mateo, CaDec 13, 202411 y2
Cynthia Wallace DuncanFoster City, CaJan 1, 202532 y1
Emily Kathryn HazelrothCertified Financial PlannerFoster City, CaJan 1, 202512 y4
Alex Barth KatzSan Mateo, CaJan 1, 202514 y1
Colin Matthew HigginsSan Mateo, CaJan 1, 202529 y1
Alexander Scott LeitzesFoster City, CaJan 2, 202512 y1
Joseph A MartinSan Mateo, CaJan 3, 202528 y1
Christopher Dalmar MoodyFoster City, CaMay 14, 202516 y1
Archana Ravindra TuragaFoster City, CaMay 16, 202510 y0
Allison Meili UozumiFoster City, CaDec 20, 202510 y0
Jack Shujie ZhaoChartered Financial AnalystFoster City, Ca Jan 1, 202610 y0
Robert Clifton HammackFoster City, CaJan 15, 202618 y3
Alexander A TranFoster City, Ca Mar 5, 202613 y3
James Michael VandevoordePasadena, Ca Mar 5, 202633 y1
Lori Delynn RussellCertified Financial PlannerPasadena, Ca Mar 6, 202614 y4
Jacob Maxwell KarkCertified Financial PlannerFoster City, CaMay 6, 202611 y2
Shantaya CowanFoster City, CaJun 22, 202614 y1
Jon Paul TheriaultFoster City, CaJul 10, 202611 y2
Rohit Bharat MansukhaniChartered Financial AnalystFoster City, CaJul 15, 202612 y2
Advisor movement
4 left, 8 joined in 12 months
net +4 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 15% of current headcount7 left over 36 months
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
  • Matthew Colin Higgins · President, Ceocontrol
    since 09/2003 · owns less than 5%
  • Barth Alex Katz · President, Ceocontrol
    since 04/2026 · owns less than 5%
  • Patrick Conor Wilkes · Coo, Ceocontrol
    since 04/2026 · owns less than 5%
  • Lynn Jennifer Rouse · Chief Compliance Officer
    since 03/2009 · owns less than 5%
Entity owners
  • Aspen Standard Group, LLC · Member
    direct · owns 75% or more
  • Alpine Investors Viii-A Splitter I, LP · Member
    indirect · owns 75% or more of Evergreen Solutions Group Topco II, LLC
  • Alpine Investors Viii, LP · Member
    indirect · owns 75% or more of Evergreen Solutions Group Topco II, LLC
  • Aspen Standard Group Intermediate Co. LLC · Member
    indirect · owns 75% or more of Aspen Standard Group, LLC
  • Aspen Standard Group Topco, LLC · Member
    indirect · owns 75% or more of Aspen Standard Group, LLC
  • Evergreen Solutions Group Topco II, LLC · Member
    indirect · owns 75% or more of Aspen Standard Group Topco, LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Foster City, Ca · principal211031
San Mateo, Ca601
Pasadena, Ca330
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Jun 30, 2026
    KATZ, ALEX, BARTH (PRESIDENT, CEO) appeared on Schedule A between the filings of 2024-12-12 and 2026-06-30
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Jun 30, 2026
    WILKES, CONOR, PATRICK (COO, CEO) appeared on Schedule A between the filings of 2024-12-12 and 2026-06-30
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Jun 30, 2026
    HIGGINS, COLIN, MATTHEW (PRESIDENT, CEO) left Schedule A between the filings of 2024-12-12 and 2026-06-30
    peers: independent wealth managers, $1B to $5B (1,360)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 3,384 to 4,031
    May 8, 2025 to Mar 24, 2026
  • Advisory employees · 14 to 20
    May 8, 2025 to Mar 24, 2026
  • Corporate clients · 10 to 9
    May 8, 2025 to Mar 24, 2026
  • HNW clients · 675 to 745
    May 8, 2025 to Mar 24, 2026
  • Individual clients · 511 to 548
    May 8, 2025 to Mar 24, 2026
  • Pension plan clients · 16 to 12
    May 8, 2025 to Mar 24, 2026
  • Employees · 43 to 46
    May 8, 2025 to Mar 24, 2026
  • Financial planning clients · 251-500 to 26-50
    May 8, 2025 to Mar 24, 2026
  • State-registered IARs · 20 to 24
    May 8, 2025 to Mar 24, 2026
  • Other offices · 1 to 2
    May 8, 2025 to Mar 24, 2026
  • Discretionary RAUM · $2.8B to $3.4B
    May 8, 2025 to Mar 24, 2026
  • HNW RAUM · $2.4B to $2.7B
    May 8, 2025 to Mar 24, 2026
  • Individual RAUM · $417M to $405M
    May 8, 2025 to Mar 24, 2026
  • Non-discretionary RAUM · $166M to $229,608
    May 8, 2025 to Mar 24, 2026
  • Pension RAUM · $37.7M to $27.9M
    May 8, 2025 to Mar 24, 2026
  • RAUM · $3.0B to $3.4B
    May 8, 2025 to Mar 24, 2026
  • Related adviser · false to true
    May 8, 2025 to Mar 24, 2026
  • Financial planning clients · 251-500 to 251-500
    Mar 31, 2025 to May 8, 2025
  • Accounts · 1,301 to 3,384
    Dec 12, 2024 to Mar 31, 2025
  • Advisory employees · 19 to 14
    Dec 12, 2024 to Mar 31, 2025
  • Charity clients · 13 to 12
    Dec 12, 2024 to Mar 31, 2025
  • HNW clients · 618 to 675
    Dec 12, 2024 to Mar 31, 2025
  • Individual clients · 494 to 511
    Dec 12, 2024 to Mar 31, 2025
  • Pension plan clients · 18 to 16
    Dec 12, 2024 to Mar 31, 2025
  • Pooled vehicle clients · unset to 0.0
    Dec 12, 2024 to Mar 31, 2025
  • Employees · 40 to 43
    Dec 12, 2024 to Mar 31, 2025
  • State-registered IARs · 19 to 20
    Dec 12, 2024 to Mar 31, 2025
  • Other offices · 0 to 1
    Dec 12, 2024 to Mar 31, 2025
  • Discretionary RAUM · $2.3B to $2.8B
    Dec 12, 2024 to Mar 31, 2025
  • HNW RAUM · $1.9B to $2.4B
    Dec 12, 2024 to Mar 31, 2025
  • Individual RAUM · $321M to $417M
    Dec 12, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $165M to $166M
    Dec 12, 2024 to Mar 31, 2025
  • Pension RAUM · $37.0M to $37.7M
    Dec 12, 2024 to Mar 31, 2025
  • Pooled vehicle RAUM · unset to 0.0
    Dec 12, 2024 to Mar 31, 2025
  • RAUM · $2.5B to $3.0B
    Dec 12, 2024 to Mar 31, 2025
  • Accounts · 3,120 to 1,301
    Nov 28, 2023 to Mar 29, 2024
  • Advisory employees · 13 to 19
    Nov 28, 2023 to Mar 29, 2024
  • HNW clients · 871 to 618
    Nov 28, 2023 to Mar 29, 2024
  • Individual clients · 547 to 494
    Nov 28, 2023 to Mar 29, 2024
  • Pension plan clients · 19 to 18
    Nov 28, 2023 to Mar 29, 2024
Signals
12 dated events
  • Matthew Gordon left Summitry, Llc for Lobos Creek Investors Llc (registered 2026-07-22)
    Apr 17, 2026 · Advisor changed firm · fact
  • 2 advisors left Vantage Wealth (Pasadena, CA) for Summitry, LLC on the same day
    Apr 7, 2026 · Team lift-out · derived
  • Carissa Nguyen Yen left Summitry, Llc for Brickley Wealth Management (registered 2026-05-08)
    Mar 6, 2026 · Advisor changed firm · fact
  • Phillip Earl Campit left Summitry, Llc for Mariner (registered 2026-03-04)
    Feb 20, 2026 · Advisor changed firm · fact
  • Lisa Ozaki left Summitry, Llc for Mariner (registered 2026-03-18)
    Feb 10, 2026 · Advisor changed firm · fact
  • 2 advisors left Summitry, LLC (Foster City, CA) for Mariner within 10 days
    Feb 10, 2026 · Team lift-out · derived
  • Brandy Savage left Summitry, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-01-05)
    Jul 30, 2024 · Advisor changed firm · fact
  • Adam Bashir Govani left Summitry, Llc for Conquis Financial Llc (registered 2023-10-06)
    Sep 28, 2023 · Advisor changed firm · fact
  • Charles Thomson Angle left Summitry, Llc for Cerity Partners Llc (registered 2023-10-30)
    Sep 28, 2023 · Advisor changed firm · fact
  • Summitry, Llc reported 19 state-registered advisory representatives, up from 8 (2022-11-03 to 2023-03-29)
    Mar 29, 2023 · Advisor headcount change · derived
  • Aaron Michael Szager left Summitry, Llc for Osborne Partners (registered 2022-08-01)
    Jul 1, 2022 · Advisor changed firm · fact
  • Cari Leamy left Summitry, Llc for Brighton Jones Llc (registered 2022-11-16)
    Apr 13, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business email
hello@summitry.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
650-212-2240reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/summitryllcreportedpublic record, Form ADV, Sep 17, 2026
Website
SUMMITRY.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
650-212-2240reportedpublic record, Form ADV, Jun 30, 2026
Team page
summitry.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
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
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$124Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026