SourcingSourcing

SUMMIT FINANCIAL ADVISORS, INC.

A73
CRD 145007·SEC 801-96206·MIDDLETOWN, OH
AUM
$199.4M
$100M-$500M
Est. Revenue
$2.0M
@ 1% on AUM
Est. EBITDA
$598K
@ 30% margin
Est. Deal Value
$4.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SUMMIT FINANCIAL ADVISORS, INC.
CRD
145007
SEC file #
801-96206
EIN
—
DBA names
—

Economics

AUM
$199.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$138.1M → $199.4M▲ +44%
Client mix
Individuals Other97
Individuals High Net Worth39
Other1

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
MIDDLETOWN OH
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMFixed feesCommissions

Filings

Latest ADV filing
06/17/2025
ADV-W filed at
—
Website
sfadvisorsinc.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MILLER, ROGER, LOWELL
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
MILLER, ROGER, LOWELL
MILLER, PETER, BENJAMIN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
SFADVISORSINC.COM
Rdap Domain Creation Date
2007-08-09T18:57:21Z
Rdap Firm Age Years
19
Rdap Firm Age Band
10-20y
Rdap Registrar
PDR Ltd. d/b/a PublicDomainRegistry.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
2
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1775
Soi Zip Pct 200k Plus
0.0276
Soi Zip Returns 200k Plus
370
Soi Zip Total AGI
867,268
Fdic Zip Total Deposits
9,006,735,000
Fdic Zip Branch Count
197
Fdic Zip Top Banks
First National Bank of Southwestern Ohio
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
American Savings and Loan AssociationMiddletown, OH
Union Federal Savings Bank of IndianapolisMiddletown, OH
Fdic Zip HHI
1030.44
Fdic Zip Top Bank Share Pct
15.54
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-09T18:57:21Z
Rdap Domain Last Changed
2025-05-27T12:34:15Z
Rdap Nameservers
Ns1.xponex.comNs2.xponex.comNs3.xponex.comNs4.xponex.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI46,878
Returns3,630
Stub 2
AGI133,943
Returns3,620
Stub 3
AGI145,395
Returns2,370
Soi Zip Total Business Income
23,800
Soi Zip Total Cap Gains
18,745
Soi Zip Total Dividends
11,955
Soi Zip Total Returns
13,410
Top Owner CRD
852164
Trust Company Affiliate
No

People (5)

5
MILLER, ROGER, LOWELL
IAR · Direct Owner · 62.5%
852164
MILLER, PETER, BENJAMIN
IAR · Direct Owner · 17.5%
4709231
WEED, ELLEN, MARIE
IAR · Direct Owner · 17.5%
4712621
WEED, MATTHEW, ALLEN
IAR · Executive Officer · 2.5%
5112691
DENNIS PAUL VITORI
IAR
852176