Haley & Summers Wealth Management, Inc.

The firm provides personalized financial planning and investment management to individuals, trusts, estates, charitable organizations and small businesses. Advisory services described in the brochure include retirement and estate planning, tax and insurance reviews, education funding and ongoing investment supervisory services.

Investment management is delivered on a discretionary, actively managed basis and is tailored to each client’s risk profile and life stage; the firm uses both fundamental and technical analysis and typically invests in stocks, bonds, mutual funds and exchange-traded funds, while occasionally employing options, margin and other trading strategies. Accounts are monitored continuously, with quarterly performance reporting and up to four telephone or face-to-face portfolio reviews each year.

Noteworthy features for a firm of this size include a long operating history and a relatively concentrated client roster—roughly $65 million in assets across about 45 accounts—resulting in a focused advisor-to-client ratio. The firm operates as a fee-only fiduciary that does not custody client assets or accept commissions, maintains reciprocal oversight of employee trading as part of its compliance program, and discloses that one principal maintains a separate legal practice, which the brochure lists among its governance and business activities.