THE SUM
Firm details
- Headquarters
- THE WOODLANDS, Texas
- CRD number
- 297658
- Registered since
- September 23, 2021
- Website
- www.thesumplanning.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Hourly Charges, Fixed Fees
- Client types
- HNWI94.25%
- Individuals5.75%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
The Sum is an independent registered investment adviser organized as an LLC and registered with the SEC in 2021. The firm is owned by an individual and focuses on serving individual and family clients, along with small-business portfolio management. Its advisory offering centers on financial planning and discretionary portfolio management. The Sum charges clients through hourly and fixed-fee arrangements rather than asset-based fee schedules, and it does not identify as an active ESG investor or a multi-state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds80%
- Cash & Cash Equivalents11%
- Exchange Traded Equities9%
Owners & executives
1 of 1Joel Hergenreter
Chief Compliance OfficerCRD 7390971
Contacts
3 of 8Brady Cox
Tax ManagerCRD 7833853
THOMAS DUNAWAY
Financial PlannerCRD 5732056
CHRISTOPHER MELBER
Financial AdvisorCRD 5990888
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 128Active vs passive
$392M in ETFs
99%
$389M
1%
$3.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $150M | 218,300 | 38.11% |
Location
THE WOODLANDS, TX
MONTGOMERY
Location
THE WOODLANDS, TX
Headquartered in THE WOODLANDS, TX, anchoring the Houston-The Woodlands, TX metro in the South.
- Metro area
- Houston-The Woodlands, TX
- Region
- South
- County
- MONTGOMERY
- Address
- 4526 Research Forest Dr
- Time zone
- CT (UTC-6)
- Office locations
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