SUMMIT TRAIL ADVISORS, LLC

HTTP://SUMMITTRAIL.COM NEW YORK, NY Investment Advisor How do I update this listing?

Summit Trail Advisors is based out of New York. Summit Trail Advisors is a large advisory firm with 1003 clients and discretionary assets under management (AUM) of $4,641,236,183 (Form ADV from 2017-11-01). Their last reported 13F filing for Q1 2019 included $231,097,000 in managed 13F securities and a top 10 holdings concentration of 74.07%. Summit Trail Advisors's largest holding is Vanguard S&P 500 ETF with shares held of 312,312. Whalewisdom has at least 7 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $231.097 Million
  • Prior Market Value $282.741 Million
  • New Purchases41 stocks
  • Additional Purchases1 stock
  • Sold out of63 stocks
  • Reduced holdings in32 stocks
  • Top 10 Holdings % 74.07 %
  • Turnover % [1]:126.83%
  • Turnover Alt % [2]: 92.42 %
  • Time Held Top20:1.20 quarters
  • Time Held Top10:1.80 quarters
  • Time Held All:2.39 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 5.97%
Performance Last 4 Quarters: 4.34%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SUMMIT TRAIL ADVISORS, LLC
Classified as Hedge Fund
2 GRAND CENTRAL TOWER 140 E 45TH STREET, 34TH FLOOR
NEW YORK NY    10017
Country: United States

Business Phone: 212-812-7010
Fax: 212-812-7011
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 38
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 1,269,100,000
Total Number of Clients: 1003
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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SUMMIT TRAIL ADVISORS, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
PETERSEN, JACK, BARRY MANAGER/MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BARCLAYS CAPITAL INC. HEAD OF RETAIL direct 2009-11-01
SUMMIT TRAIL ADVISORS, LLC MANAGER/MEMBER direct 2015-07-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER/ MANAGER/MEMBER direct 2015-07-01
CANTELUPE, JAMES, FRANK MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
ROMHILT, DAVID, WADE MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
LEE, PETER, CHRISTOPHER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
SCARBOROUGH, JOHN, WILLIAM MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PALECEK, THOMAS, PETER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
HARMS, THOMAS, KERSHAW CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY SMITH BARNEY LLC DESIGNATED PRINCIPAL - TEXAS direct 2009-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
KATZ, SETH, AARON MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
JOHNSON, BENJAMIN, PAUL MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
SAXE, JOHN, DUFF MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PEDLEY, DANIELA MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2018-01-01
KILO SUMMIT TRAIL, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2018-01-01
CEDAR KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01
MAGNOLIA KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01
REDWOOD KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ASCENT EVENT DRIVEN FUND United States 805-7390737900 Private Equity Fund 16,115,930 0
ASCENT PRIVATE INVESTMENT FUND, L.P. United States 805-3740365070 Private Equity Fund 12,636,574 250,000

SUMMIT TRAIL ADVISORS, LLC

ownership team - last updated 2018-12-20
Name Title Start Date Direct/Indirect % Ownership
LEE, PETER, CHRISTOPHER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PETERSEN, JACK, BARRY MANAGER/MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BARCLAYS CAPITAL INC. HEAD OF RETAIL direct 2009-11-01
SUMMIT TRAIL ADVISORS, LLC MANAGER/MEMBER direct 2015-07-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER/ MANAGER/MEMBER direct 2015-07-01
CANTELUPE, JAMES, FRANK MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
ROMHILT, DAVID, WADE MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
SCARBOROUGH, JOHN, WILLIAM MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PALECEK, THOMAS, PETER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
HARMS, THOMAS, KERSHAW CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY SMITH BARNEY LLC DESIGNATED PRINCIPAL - TEXAS direct 2009-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
KATZ, SETH, AARON MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
JOHNSON, BENJAMIN, PAUL MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
SAXE, JOHN, DUFF MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PEDLEY, DANIELA MEMBER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2018-01-01
KILO SUMMIT TRAIL, LLC MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2018-01-01
CEDAR KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01
MAGNOLIA KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01
REDWOOD KILO TRUST MEMBER KILO SUMMIT TRAIL, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER indirect 2018-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ASCENT EVENT DRIVEN FUND United States 805-7390737900 Private Equity Fund 16,115,930 0
ASCENT PRIVATE INVESTMENT FUND, L.P. United States 805-3740365070 Private Equity Fund 12,636,574 250,000

SUMMIT TRAIL ADVISORS, LLC

ownership team - last updated 2017-07-14
Name Title Start Date Direct/Indirect % Ownership
SAXE, JOHN, DUFF MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
JOHNSON, BENJAMIN, PAUL MEMBER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
KATZ, SETH, AARON MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
HARMS, THOMAS, KERSHAW CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY SMITH BARNEY LLC DESIGNATED PRINCIPAL - TEXAS direct 2009-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-02-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
PALECEK, THOMAS, PETER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
SCARBOROUGH, JOHN, WILLIAM MEMBER 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
LEE, PETER, CHRISTOPHER MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
ROMHILT, DAVID, WADE MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
CANTELUPE, JAMES, FRANK MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SUMMIT TRAIL ADVISORS, LLC MEMBER direct 2015-07-01
PETERSEN, JACK, BARRY MANAGER/MEMBER 07/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BARCLAYS CAPITAL INC. HEAD OF RETAIL direct 2009-11-01
SUMMIT TRAIL ADVISORS, LLC MANAGER/MEMBER direct 2015-07-01
SUMMIT TRAIL ADVISORS, LLC CHIEF COMPLIANCE OFFICER/ MANAGER/MEMBER direct 2015-07-01

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