SourcingSourcing

SUMNICHT & ASSOCIATES, LLC

A74
CRD 111421·SEC 801-60309·APPLETON, WI
AUM
$107.9M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$324K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SUMNICHT & ASSOCIATES, LLC
CRD
111421
SEC file #
801-60309
EIN
—
DBA names
—

Economics

AUM
$107.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$300.1M → $107.9M▼ -64%
Client mix
Individuals High Net Worth10

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
5 advisors → 3 advisors▼ -40%
Primary office
APPLETON WI
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
sumnicht.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SUMNICHT HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
SUMNICHT HOLDINGS, LLC
SUMNICHT, VERNON, COFFEY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SUMNICHT.COM
Rdap Domain Creation Date
1997-05-05T04:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-05-06T04:00:00Z
Rdap Domain Last Changed
2026-03-07T07:23:03Z
Rdap Nameservers
Ns65.worldnic.comNs66.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (2)

2
SUMNICHT, VERNON, COFFEY
IAR · Executive Officer · 2.5%
1315421
SCOTT RICHARD JONES
IAR
5026096