SourcingSourcing

SUMMIT PLANNING GROUP, INC.

A72
CRD 125994·SEC 801-122168·E. SYRACUSE, NY
AUM
$111.0M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$333K
@ 30% margin
Est. Deal Value
$2.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SUMMIT PLANNING GROUP, INC.
CRD
125994
SEC file #
801-122168
EIN
—
DBA names
—

Economics

AUM
$111.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$105.4M → $111.0M▲ +5%
Client mix
Individuals Other186
Individuals High Net Worth24
Pension Profit Sharing Plans1
Charitable Organizations1

Operations

Employees (total)
4
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'22'26
1 advisors → 1 advisors▬ 0%
Primary office
E. SYRACUSE NY
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
summitplan.com

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
URCIUOLI, RICHARD, JOHN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
URCIUOLI, RICHARD, JOHN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SUMMITPLAN.COM
Rdap Domain Creation Date
1997-03-27T05:00:00Z
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
Form 5500 Plan Count
1
Form 5500 Total Compensation
107,963
Form 5500 Compensation Trajectory 3y
2025107,963
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
107,963
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-03-28T04:00:00Z
Rdap Domain Last Changed
2026-01-27T07:55:29Z
Rdap Nameservers
Graham.ns.cloudflare.comMarlowe.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1239283
Trust Company Affiliate
No

People (1)

1
URCIUOLI, RICHARD, JOHN
IAR · Direct Owner · 87.5%
1239283