Summerhaven Investment Management, LLC
Registered investment adviser · Stamford, CT · CRD #289269
Form ADV data as of 2026-09-01Regulatory assets
$176.2 million
Total accounts
2
Employees
8
Disclosure events
4
Firm details
- Website: https://www.linkedin.com/company/summerhaven-investment-management/
- Telephone: 203-352-2700
- SEC file number: 801-111663
- Most recent Form ADV filing: 2026-03-27
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $176.2 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $176.2 million |
| Discretionary accounts | 2 |
| Non-discretionary accounts | 0 |
| Total accounts | 2 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 8 |
| Employees performing investment advisory functions (including research) | 5 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Other | 1 | $176.2 million |