SUMMIT GLOBAL INVESTMENTS

https://www.silvx.com BOUNTIFUL, UT Investment Advisor How do I update this listing?

Summit Global Investments is based out of Bountiful. Summit Global Investments is a large advisory firm with 1249 clients and discretionary assets under management (AUM) of $1,183,065,592 (Form ADV from 2020-03-26). Their last reported 13F filing for Q1 2020 included $685,979,000 in managed 13F securities and a top 10 holdings concentration of 27.87%. Summit Global Investments's largest holding is Walmart Inc with shares held of 210,150. Summit Global Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 14 13F filings The firm last filed a Form D notice of exempt offering of securities on 2017-11-20. The notice included securities offered of Equity

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03/31/2020

13F Activity

  • Market Value $685.979 Million
  • Prior Market Value $922.325 Million
  • New Purchases70 stocks
  • Additional Purchases73 stocks
  • Sold out of120 stocks
  • Reduced holdings in68 stocks
  • Top 10 Holdings % 27.87 %
  • Turnover % [1]:88.37%
  • Turnover Alt % [2]: 68.00 %
  • Time Held Top20:1.90 quarters
  • Time Held Top10:1.70 quarters
  • Time Held All:4.37 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 14.9%
Performance Last 4 Quarters: 3.1%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SUMMIT GLOBAL INVESTMENTS, LLC
620 SOUTH MAIN STREET
BOUNTIFUL UT    84010
Country: United States

Business Phone: 888-251-4847
Fax: 888-251-4847
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: UT
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1249
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2017-11-20 D INVESTING Equity INDEFINITE 0 INDEFINITE
2013-06-20 D INVESTING Equity 1,275,000 0 1,275,000
2011-11-08 D INVESTING Equity 500,000 100,000 400,000
Other Issuers in Filings
Name Address
SUMMIT GLOBAL INVESTMENTS, LLC 189 NORTH, HWY 89, SUITE 144
NORTH SALT LAKE, UT 84054
SUMMIT GLOBAL INVESTMENTS, LLC 620 SOUTH MAIN STREET
BOUNTIFUL, UT 84010
Related Parties included in filings
Name Address Relationship
BRYCE SUTTON subscription required
    DIRECTOR
DAVE HARDEN subscription required
    EXECUTIVE OFFICER DIRECTOR PROMOTER
DAVID HARDEN subscription required
    EXECUTIVE OFFICER DIRECTOR PROMOTER
LAURITZ CHRISTENSEN subscription required
    DIRECTOR
MARK KENISON subscription required
    EXECUTIVE OFFICER DIRECTOR

SUMMIT GLOBAL INVESTMENTS, LLC

ownership team - last updated 2020-03-26
Name Title Start Date Direct/Indirect % Ownership

SUMMIT GLOBAL INVESTMENTS, LLC

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
SUTTON, BRYCE, JAY MANAGING PARTNER; OWNER 12/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC DIRECTOR OF SALES; OWNER direct 2011-11-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER; OWNER direct 2014-03-01
HARDEN CAPITAL, LLC OWNER 10/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC OWNER direct 2010-10-01
RICHARD L THAWLEY & CYNTHIA A THAWLEY, TRUSTEES RESTATED RICHARD LEE THAWLEY AND CYNTHIA ANN THAWLEY COMMUNITY PROPERTY TRUST MEMBER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER direct 2011-12-01
HARDEN, DAVID, LEE CEO 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; OWNER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CEO direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC PRESIDENT indirect 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; MANAGING MEMBER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01
CHRISTENSEN FAMILY HOLDINGS, INC. MEMBER 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER direct 2016-12-01
MESSEL, BRENT, GREGORY CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
HARDEN, DAVID, LEE PRESIDENT HARDEN CAPITAL, LLC 10/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; OWNER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CEO direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC PRESIDENT indirect 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; MANAGING MEMBER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01
HARDEN, JENNIFER MEMBER HARDEN CAPITAL, LLC 10/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01
THAWLEY, RICHARD, LEE CO-TRUSTEE RICHARD L THAWLEY & CYNTHIA A THAWLEY, TRUSTEES RESTATED RICHARD LEE THAWLEY AND CYNTHIA ANN THAWLEY COMMUNITY PROPERTY TRUST 12/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CO-TRUSTEE indirect 2002-12-01
THAWLEY, CYNTHIA, ANN CO-TRUSTEE RICHARD L THAWLEY & CYNTHIA A THAWLEY, TRUSTEES RESTATED RICHARD LEE THAWLEY AND CYNTHIA ANN THAWLEY COMMUNITY PROPERTY TRUST 12/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CO-TRUSTEE indirect 2002-12-01
CHRISTENSEN, LAURITZ, CROOKSTON PRESIDENT CHRISTENSEN FAMILY HOLDINGS, INC. 12/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER direct 2011-07-01
christensen, sharron, daisy SECRETARY CHRISTENSEN FAMILY HOLDINGS, INC. 12/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC SECRETARY indirect 2016-12-01
Christensen, Mikkel, Lauritz SHAREHOLDER CHRISTENSEN FAMILY HOLDINGS, INC. 12/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC SHAREHOLDER indirect 2016-12-01

SUMMIT GLOBAL INVESTMENTS, LLC

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
SUTTON, BRYCE, JAY CHIEF COMPLIANCE OFFICER; OWNER 03/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC DIRECTOR OF SALES; OWNER direct 2011-11-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER; OWNER direct 2014-03-01
HARDEN CAPITAL, LLC OWNER 10/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC OWNER direct 2010-10-01
RICHARD L THAWLEY & CYNTHIA A THAWLEY, TRUSTEES RESTATED RICHARD LEE THAWLEY AND CYNTHIA ANN THAWLEY COMMUNITY PROPERTY TRUST MEMBER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER direct 2011-12-01
HARDEN, DAVID, LEE CEO 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; OWNER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CEO direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC PRESIDENT indirect 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; MANAGING MEMBER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01
CHRISTENSEN FAMILY HOLDINGS, INC. MEMBER 12/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER direct 2016-12-01
HARDEN, DAVID, LEE PRESIDENT HARDEN CAPITAL, LLC 10/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; OWNER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CEO direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC PRESIDENT indirect 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER; MANAGING MEMBER direct 2010-10-01
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01
HARDEN, JENNIFER MEMBER HARDEN CAPITAL, LLC 10/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT GLOBAL INVESTMENTS, LLC MEMBER indirect 2010-10-01

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