| Advisor Profile |
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Business Description |
| We recognize that along with financial success comes increased responsibilities and complexity. At Summit, we provide a holistic approach to managing all aspects of our client's financial situation. By doing so, we can take advantage of the critical interdependencies among investments, income and estate taxes, and income for retirement. We recognize that our clients' unique financial needs and goals change over time, so we offer a wide spectrum of services. We can demonstrate the short-term as well as long-term benefits of smarter tax strategies and improved investment decisions. We will also show our clients how to invest their money according to their values in a socially responsible way. |
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General Information |
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| Name of Custodial Firm: |
Fidelity
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| States Licensed in: |
Washington
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| States Willing to do Business in: |
MA, FL, CA, WA
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| Years of Experience in Financial Services: |
25
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| Number of Years with Current Firm: |
4
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| Work Experience: |
Banking - 11 years
Investments - 14 years
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| I work with the following types of clients: |
Individual Investors
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Education |
| Academic Background |
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BA Sociology
MBA Finance
CERTIFIED FINANCIAL PLANNER |
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Services |
| Investment Types: |
Variable Insurance Products, Annuities, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Life & Health, Series 66
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| Insurance and Annuity Licenses: |
Long Term Care, Health, Life
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| Financial Organization Memberships: |
Paladin Registry, Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
73
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| Firm's Number of Planning Clients: |
73
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| Firm's Number of Managed Clients: |
73
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| Assets Managed by Firm: |
$36 million
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| Advisor's Number of Clients: |
17
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| Advisor's Number of Managed Clients: |
17
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| Advisor's Number of Planning Clients: |
17
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Compliance |
| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
100,000
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| Compensation Methods: |
Based on Assets, Hourly
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| Fee % Based on Assets: |
up to 1.6%
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| Additional Details on Charges: |
Decreasing percentage, based on total assets under management.
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| Prepared By: |
Alan Gammel |
Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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CERTIFIED FINANCIAL PLANNER
Registered Investment Advisor Representative
M.B.A. Finance |
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Will you be the only person working with me? |
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I am your primary contact. Other members of our team may be called on from time to time for specific issues. |
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How are you compensated? How will I pay for your services? |
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Summit Capital Advisors is a fee-ONLY Registered Investment Advisory firm. We can make hourly fee arrangements or for a fee based on assets we manage for you. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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We manage accounts on a discretionary basis. We do not ask your permission to make each trade. |
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Have you ever been charged with any breaches? |
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What financial institution(s) do you represent? |
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We are an independent financial advisory firm. |
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How do you charge for your services? |
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Summit Capital Advisors is a fee-ONLY Registered Investment Advisory firm. We can make hourly fee arrangements or for a fee based on assets we manage for you. |
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Do you provide a free initial consultation? |
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What are your qualifications? |
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CERTIFIED FINANCIAL PLANNER
Registered Investment Advisor Representative
M.B.A. Finance |
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What is your approach to 401 K plan rollovers? |
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Rollovers are a very important part of the retirement planning process. Plan provisions vary from company to company. We take a cautious approach to determine the best rollover options for our clients. |
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What are your fees for this service? |
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Summit Capital Advisors is a fee-ONLY Registered Investment Advisory firm. We can make hourly fee arrangements or a fee based on assets we manage for you. |
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Do you provide a free initial consultation? |
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