SUMNICHT & ASSOCIATES, LLC

Latest filing: Mar 22, 2024 (222 days ago)

AUM

$287,175,336
13% change vs. 1 year ago
-22% change vs. 3 years ago
-4% change vs. 5 years ago
10% change vs. 10 years ago

Employee Count

4
0% change vs. 1 year ago
0% change vs. 3 years ago
-20% change vs. 5 years ago
-20% change vs. 10 years ago

Main Office

APPLETON, WI
5485 W GRANDE MARKET DRIVE, APPLETON, WI, UNITED STATES, 54913

Client AUM

Discretion AUM
Discretionary $0.3
Non-Discretionary $0.0
Total $0.3
Client AUM
Retail $0.3
Pooled $0.0
Institutional $0.0
Total $0.3
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 25 $0.3
Average HNW AUM $11,487,013
Retail Total 25 $0.3
Average Retail AUM $11,487,013

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
THE NORTHERN TRUST COMPANY MILWAUKEE-WI-USA $0.2
SEI PRIVATE TRUST COMPANY OAKS-PA-USA $0.1
FIDELITY BROKERAGE SERVICES LLC SMITHFIELD-RI-USA $0.1

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.3
Retail SMA AUM $0.3
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 73% $0.2
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 10% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 4% $0.0
Other 13% $0.0
Total 100% $0.3

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
ISECTORS, LLC $0.0 147589

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

4 active

Name Title
SUMNICHT, VERNON, COFFEY CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER, OWNER
SUMNICHT, DEBRA PASSIVE OWNER

ADVDB.CO • SOURCE: SEC

Representatives

3 active representatives found

Name City State Exams Designations
VERNON SUMNICHT APPLETON WI S63|1984-11-01 CERTIFIED FINANCIAL PLANNER
SCOTT JONES APPLETON WI S65|2007-07-30
PAUL CALLAHAN APPLETON WI S63|1992-12-23|S66|2001-06-04

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $0.3 $0.0 0% 4 0 0%
2024-04-02 $0.3 $0.0 0% 4 0 0%
2023-04-04 $0.3 $0.0 13% 4 0 0%
2022-04-01 $0.3 -$0.1 -16% 3 1 33%
2021-04-05 $0.4 -$0.1 -22% 4 0 0%
2020-04-01 $0.3 -$0.1 -15% 4 0 0%
2019-04-01 $0.3 $0.0 -4% 5 -1 -20%
2018-04-02 $0.3 $0.0 -12% 5 -1 -20%
2017-04-01 $0.3 $0.0 -4% 6 -2 -33%
2016-04-01 $0.3 $0.0 7% 6 -2 -33%
2015-04-01 $0.3 $0.0 8% 6 -2 -33%
2014-04-01 $0.3 $0.0 10% 5 -1 -20%
2013-04-01 $0.3 $0.0 3% 8 -4 -50%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
WI, CA-03/24/2004, FL-02/08/2007, TX-07/14/2003, WI-05/01/1989
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION
OTHER ACTIVITIES
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV