Summit Global Investments, LLC

Summit Global Investments provides discretionary portfolio management and related advisory services to a broad mix of clients, including registered investment companies, institutional investors, pension and profit-sharing plans, trusts, corporate and business entities, and individual and high-net-worth clients. The firm manages a suite of mutual funds and ETFs, operates a private fund for Qualified Clients, and also offers financial planning and estate planning support under separate agreements.

SGI’s investment process combines proprietary quantitative and fundamental analysis with a managed-risk philosophy that emphasizes minimizing downside and optimizing risk-adjusted returns; portfolios are implemented through model-based strategies or customized accounts and are subject to continual supervision and re‑optimization. The firm generally manages accounts on a discretionary basis and has expanded use of third‑party trading and portfolio platforms that, in some cases, are granted limited discretionary authority to execute transactions in client accounts.

Notable differences from many peers include the firm’s large client base relative to its advisor team — covering over 7,400 clients with a 92‑advisor staff — and its reliance on percentage‑of‑AUM and performance‑based compensation rather than fixed management fees (while offering separate flat‑fee planning engagements). SGI also manages affiliated mutual funds and ETFs, uses a sub‑advisor arrangement and dual‑registration relationships, and discloses use of soft dollars and platform partnerships (e.g., with Betterment), matters that can introduce additional conflicts of interest and operational considerations.