Summit Planning Group, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$111,006,666
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
210
11% high-net worth
Total advisors
1
of 4 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
210
Average account size
$528,603
About
Summit Planning Group provides discretionary portfolio management and comprehensive financial planning to individual and high‑net‑worth clients. Services include preparing written investment policy statements, ongoing portfolio monitoring, and advice across mutual funds, equities, exchange‑traded funds (including precious‑metals ETFs) and Treasury inflation‑protected securities.
The firm combines fundamental, technical, cyclical and quantitative analysis and employs both long‑ and short‑term trading within client‑specific investment policy statements that document goals and risk tolerance. Accounts are managed on a discretionary basis and the firm generally requires the use of a designated institutional custodian while seeking best execution.
The brochure discloses a 2023 SEC order finding the firm breached its fiduciary duty and had compliance failures related to extended investments in a volatility‑linked exchange‑traded product. The firm’s principals are licensed insurance agents who may receive commissions for insurance product sales (a disclosed conflict), and the firm serves an unusually large number of clients per advisor—over 200 for its single advisor—while noting it does not aggregate trades for multiple client accounts, a practice the brochure highlights can affect execution.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Passive / index investing
Active portfolio management
Fee options
$1 - $999,999: 1.50% $1,000,000 - $1,999,999: 1.25% $2,000,000+: 1.00%
Commissions are not the primary source of compensation; insurance product sales by representatives receive commissions.
Account minimum: No account minimum for any of SPG’s services.
Main office location
Summit Planning Group, Inc.
6674 Hammersmith Dr.
E. Syracuse NY 13057, United States
Number of offices
1
Most active in
Summit Planning Group, Inc. has reported serving >5 clients in these states in the last 12 months.
Florida · New Hampshire · New York · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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