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BB
ChFC
BB
ChFC

Brian Barthold

Summit Financial, LLC
26 Years of Experience
Parsippany, NJ
BrokerSells Insurance
View SEC Summary
View SEC Summary

Brian Barthold is a ChFC-designated registered investment advisor at Summit Financial, LLC, based in Parsippany, NJ, with 26 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Corporate Executives, Education Planning, and 8 more. Their firm serves 18,393 clients with $26B in assets under management.

Summit Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
231 advisors
Number of Clients
18,393 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$26.3B

Fee Structure

Minimum Investment:$100K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

The maximum advisory fee across programs is 1.50% per year. Fees are negotiable and exclude program fees, custodian charges, and third-party manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4 Campus Drive, Parsippany, NJ, 07054

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Brian offers insurance as a broker or agent through numerous insurance companies, including SRM, an affiliated company. He dedicates a full-time commitment to Summit Financial, LLC as an Investment Advisor Representative (IAR) providing financial advice to clients.

Employment History
Current Registrations
Summit Financial, LLC
December 2018 - Present · 7 yrs 10 mos
Purshe Kaplan Sterling InvestmentsBroker
September 2018 - Present · 8 yrs 1 mo
Previous Registrations
Summit Equities INC
August 2002 - December 2018 · 16 yrs 4 mos
Summit Equities, INC.Broker
July 2002 - September 2018 · 16 yrs 2 mos
Summit Financial Resources INC
July 2002 - September 2018 · 16 yrs 2 mos
Morgan Stanley Dw INC.Broker
May 2001 - July 2001 · 2 mos
Hornblower & Weeks, INC.Broker
April 1999 - April 2001 · 2 yrs
State Registrations12 states
AKCTFLMAMENCNJNYOHORPATX
AdvisorBrokerBoth

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.
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