Sumnicht & Associates, Llc
- Regulatory AUM
- $108M
- Discretionary
- $64.0M
- Clients
- 10
- Avg AUM / client
- $10.8M
- Accounts
- 72
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 10 | $108M | 100.0% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Vernon Coffey Sumnicht | Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer | CFP | Nov 1988 (38y) | ≈ 37.5% – 75% via Sumnicht Holdings, Llc |
| Sumnicht, Debra | Passive Owner | Jan 2005 (22y) | ≈ 18.75% – 50% via Sumnicht Holdings, Llc | |
| Scott Richard Jones | Registered representative | Jul 2007 (19y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sumnicht Holdings, Llc | Holding Company | Jan 2005 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Vernon Coffey Sumnicht: 50% – 75% of Sumnicht Holdings, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Sumnicht, Debra: 25% – 50% of Sumnicht Holdings, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • TRUST ADMINISTRATION FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Northern Trust $154M (54% of AUM) Mar 2024
- Fidelity Brokerage Services $97.8M (91% of AUM) Mar 2026
- SEI Private Trust $59.4M (21% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗