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THE SUM

THE WOODLANDS, TX · CRD 297658 · IAPD ↗ · 281-940-4859

$551.4MRegulatory AUM
10Advisory reps
12Employees
34Clients
101-250Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
August 2026 — THE SUM added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
71
August 2026 — THE SUM grew from 7 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
March 2026 — THE SUM crossed $500M in regulatory AUM ($409.5M -> $551.4M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
28
March 2025 — THE SUM changed its website from thesumplanning.com to thesumprep.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
64
March 2025 — THE SUM reported RAUM up 34% ($305.6M -> $409.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
April 2024 — THE SUM reports 101-250 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2024 — THE SUM now reports custody of client assets ($120.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
April 2024 — THE SUM reported RAUM up 118% ($140.3M -> $305.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.