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
Summa Global Advisors, LLC
Latest filing Jun 17, 2026
First filing on the tape Mar 27, 2012 · 27 filings
SEC status approved since Apr 7, 2010
RAUM
$144M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$144M as of Jun 17, 2026
Mar 27, 2012$110M then
HNW client RAUM$115M as of Jun 17, 2026
Mar 23, 2018$145M then
State-registered IARs (5.B.3)2 as of Jun 17, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Jun 17, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +2.9% over the last fiscal year+6.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 17, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $409,441derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M80%
- Individuals$27.9M19%
- Charitable organizations$1.4M1.0%
- Individual clients
- 84reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 352reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Wai Ngan Henry YuCertified Financial Planner | Clackamas, Or | Oct 27, 2009 | 20 y | 1 |
| Valerie Ruth Tucker | Clackamas, Or | Dec 1, 2016 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Roger Lane Johnson to Western Pacific Wealth Management, LPJan 19, 2021 · RIA to RIA
Joined, latest
- Roger Lane Johnson from Coldstream Wealth ManagementNov 10, 2009 · Other
- Wai Ngan Henry Yu from Coldstream Wealth ManagementOct 27, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ruth Valerie Wakefield · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Henry Wai Ngan Yu · Managing Directorcontrolsince 01/2022 · owns less than 5%
- Ruth Valerie Wakefield · Vice President, Secretarycontrolsince 03/2024 · owns 25% to 50% of Summa Global Holdings, Inc.
- Henry Wai Ngan Yu · Presidentcontrolsince 01/2022 · owns 50% to 75% of Summa Global Holdings, Inc.
Entity owners
- Summa Global Holdings, Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clackamas, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 374 to 352Apr 9, 2025 to Mar 28, 2026
- HNW clients · 39 to 41Apr 9, 2025 to Mar 28, 2026
- Individual clients · 91 to 84Apr 9, 2025 to Mar 28, 2026
- Assets in custody · $38.7M to $54.0MApr 9, 2025 to Mar 28, 2026
- Discretionary RAUM · $128M to $133MApr 9, 2025 to Mar 28, 2026
- HNW RAUM · $110M to $115MApr 9, 2025 to Mar 28, 2026
- Individual RAUM · $29.2M to $27.9MApr 9, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $12.1M to $11.2MApr 9, 2025 to Mar 28, 2026
- RAUM · $140M to $144MApr 9, 2025 to Mar 28, 2026
- Accounts · 353 to 374Jul 9, 2024 to Apr 9, 2025
- Charity clients · 2.0 to unsetJul 9, 2024 to Apr 9, 2025
- Corporate clients · unset to 0.0Jul 9, 2024 to Apr 9, 2025
- HNW clients · 13 to 39Jul 9, 2024 to Apr 9, 2025
- Individual clients · 119 to 91Jul 9, 2024 to Apr 9, 2025
- Pension plan clients · unset to 0.0Jul 9, 2024 to Apr 9, 2025
- Pooled vehicle clients · unset to 0.0Jul 9, 2024 to Apr 9, 2025
- Assets in custody · unset to 38700000.0Jul 9, 2024 to Apr 9, 2025
- Financial planning clients · 0 to 0Jul 9, 2024 to Apr 9, 2025
- Discretionary RAUM · $126M to $128MJul 9, 2024 to Apr 9, 2025
- HNW RAUM · $51.8M to $110MJul 9, 2024 to Apr 9, 2025
- Individual RAUM · $82.7M to $29.2MJul 9, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $13.2M to $12.1MJul 9, 2024 to Apr 9, 2025
- Pension RAUM · unset to 0.0Jul 9, 2024 to Apr 9, 2025
- Pooled vehicle RAUM · unset to 0.0Jul 9, 2024 to Apr 9, 2025
- RAUM · $139M to $140MJul 9, 2024 to Apr 9, 2025
- Advisory employees · 3 to 2Mar 14, 2024 to Apr 10, 2024
- Employees · 3 to 2Mar 14, 2024 to Apr 10, 2024
- State-registered IARs · 3 to 2Mar 14, 2024 to Apr 10, 2024
- Accounts · 332 to 353Mar 15, 2023 to Mar 14, 2024
- Individual clients · 115 to 119Mar 15, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 0Mar 15, 2023 to Mar 14, 2024
- Discretionary RAUM · $107M to $126MMar 15, 2023 to Mar 14, 2024
- HNW RAUM · $47.4M to $51.8MMar 15, 2023 to Mar 14, 2024
- Individual RAUM · $67.8M to $82.7MMar 15, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $12.3M to $13.2MMar 15, 2023 to Mar 14, 2024
- RAUM · $119M to $139MMar 15, 2023 to Mar 14, 2024
- Accounts · 344 to 332Mar 25, 2022 to Mar 15, 2023
- Charity clients · 5 to 2Mar 25, 2022 to Mar 15, 2023
- Individual clients · 117 to 115Mar 25, 2022 to Mar 15, 2023
- Discretionary RAUM · $125M to $107MMar 25, 2022 to Mar 15, 2023
Signals
3 dated events
- Ruth Valerie Wakefield (Vice President, Secretary) appeared on Schedule A of Summa Global Advisors, LlcApr 10, 2024 · Control person joined · fact
- Jean Rachel Wakefield (Owner; President) no longer on Schedule A of Summa Global Advisors, Llc (listed 2024-03-14, absent 2024-04-10)Apr 10, 2024 · Control person left · inference
- Summa Global Advisors, Llc reported RAUM $140.7M, down 43% from $246.2M (2021-08-12 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
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
- Website
- SUMMAGLOBAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-636-2022reportedpublic record, Form ADV, Jun 17, 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
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026