LK
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Lawrence Kaplan
36 Years of Experience
Lyme, CT
1 DisclosureSells Insurance
Lawrence Kaplan is a registered investment advisor at Summit Investment Management, LLC, based in Lyme, CT, with 36 years of industry experience. Lawrence operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 32 clients with $17M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
32 clients
Average Client Portfolio
$524K average
Assets Under Management
$16.8M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $1.0M | 1.25% |
| $1M+ | 1.25% |
Fees negotiable for accounts over $1,000,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Lyme, CT
Get directionsHistory
Regulatory History (1)
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Regulatory
November 2022Final
Other Business ActivitiesSells Insurance
Lawrence is a licensed insurance agent in Lyme, CT, selling insurance products.
Employment History
Current Registrations
Summit Investment Management, LLC
May 2009 - Present · 17 yrs
Previous Registrations
Raymond James Financial Services Advisors, INC
January 2009 - May 2009 · 4 mos
Raymond James Financial Services
February 1996 - January 2009 · 12 yrs 11 mos
Raymond James Financial Services, INC.Broker
July 1994 - May 2009 · 14 yrs 10 mos
American Express Financial Advisors INC.Broker
July 1989 - August 1994 · 5 yrs 1 mo
Ids Life Insurance CompanyBroker
July 1989 - August 1994 · 5 yrs 1 mo
State Registrations1 state
CT
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.