Wealth manager, independent · Middletown, OH
Summit Financial Advisors, Inc.
SEC-registered investment adviser · CRD 145007 · SEC 801-96206
At a glance
Summit Financial Advisors, Inc. is an SEC-registered investment adviser based in Middletown, Ohio, with $233 million in regulatory assets under management as of its Form ADV filed June 9, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 138 individual clients. By Form ADV it is a wealth manager, ranked 5,263rd of 8,915 wealth managers and 11,458th of 17,210 SEC-registered advisers by assets.
Main office 513-424-6300sfadvisorsinc.comAs filed on Form ADV
- Regulatory AUM
- $233M
- Rank among wealth managers
- #5,263 of 8,915
- Rank among all SEC RIAs
- #11,458 of 17,210
- Rank in Ohio
- #268 of 403
- Individual clients
- 138
- High-net-worth clients
- 47
- Accounts
- 417
- Discretionary
- 99% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Roger L. MillerPresident
- Peter B. MillerVice President/secretary/treasurer
- Ellen M. WeedVice President
- Matthew A. WeedChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 47 | $207M | 89% |
| Individuals | 91 | $24M | 10% |
| Other | 1 | $2M | <1% |
Disciplinary disclosures
Summit Financial Advisors, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗sfadvisorsinc.com ↗
AtlasMembers
The full record on Summit Financial Advisors, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,245 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Summit Financial Advisors, Inc. manage?
Summit Financial Advisors, Inc. reports $233 million in regulatory assets under management across 417 accounts, 99% of it on a discretionary basis, on its Form ADV filed June 9, 2026.
What kind of firm is Summit Financial Advisors, Inc.?
Summit Financial Advisors, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Summit Financial Advisors, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($207 million, 47 clients); individuals ($24 million, 91 clients); other ($2 million, 1 clients).
Does Summit Financial Advisors, Inc. have any disciplinary history?
Summit Financial Advisors, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Summit Financial Advisors, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →