Advisor at Summit Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Summit Investment Management, LLC
Location
Lyme, CT
Credentials
Series 63
Industry experience
36 years
Lawrence Kaplan is a financial advisor at Summit Investment Management, LLC with 36 years of industry experience. He holds a Series 63 designation and has been with Summit since 2009. Kaplan is also a licensed insurance agent in Lyme, CT, selling insurance products alongside his advisory work. Summit Investment Management provides individualized investment advisory and consulting services to individuals, including high net-worth clients, using tailored portfolios that may include stocks, bonds, mutual funds, ETFs, and private securities. The firm’s investment approach is based on fundamental analysis and asset-allocation principles, offering ongoing asset management, financial planning, and consulting engagements.
Flat fees for consulting services; retainer not exceeding $500 when services cannot be rendered within 6 months
$0 - $250,000: 1.50% $250,001 - $1,000,000: 1.25% Over $1,000,000+: Negotiable
$200 per hour
Lyme, CT
Connecticut
Summit Investment Management, LLC
2009 - Present (17 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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In the Money Retirement Planning Limited Liability Company
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