Summit Financial Advisors, Inc.
Registered investment adviser · Middletown, OH · CRD #145007
Form ADV data as of 2026-09-01Regulatory assets
$232.8 million
Total accounts
417
Employees
4
Disclosure events
2
Firm details
- Website: http://sfadvisorsinc.com
- Telephone: 513-424-6300
- SEC file number: 801-96206
- Most recent Form ADV filing: 2026-06-09
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 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 imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $231.0 million |
| Non-discretionary regulatory assets under management | $1.9 million |
| Total regulatory assets under management | $232.8 million |
| Discretionary accounts | 386 |
| Non-discretionary accounts | 31 |
| Total accounts | 417 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 4 |
| Employees performing investment advisory functions (including research) | 4 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 4 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 2 |
| 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 |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 91 | $24.1 million |
| High net worth individuals | 47 | $207.2 million |
| Other | 1 | $1.5 million |