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SIERRA SUMMIT ADVISORS LLC

· CRD 328151 · IAPD ↗ · sierrasummitadvisors.com · 847-652-5070

$780.8MRegulatory AUM
5Advisory reps
7Employees
0Clients
51-100Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
March 2026 — SIERRA SUMMIT ADVISORS LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
64
April 2025 — SIERRA SUMMIT ADVISORS LLC reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — SIERRA SUMMIT ADVISORS LLC crossed $500M in regulatory AUM ($425.0M -> $637.6M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
47
February 2025 — SIERRA SUMMIT ADVISORS LLC notice-filed in CA, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
July 2024 — SIERRA SUMMIT ADVISORS LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
February 2024 — SIERRA SUMMIT ADVISORS LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
February 2024 — SIERRA SUMMIT ADVISORS LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
February 2024 — SIERRA SUMMIT ADVISORS LLC now reports custody of client assets ($425.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
February 2024 — SIERRA SUMMIT ADVISORS LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
February 2024 — SIERRA SUMMIT ADVISORS LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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