Who is Colin Higgins (CRD#: 2813293)?
Colin Higgins is the Chief Executive Officer of Summitry and is a member of Summitry’s Investment Committee. As CEO, Colin directs all business activities for the firm. Since 1996, Colin has been undertaking investment analysis, equity research, and portfolio management. Colin was on the Charles Schwab Advisory Board and was named a “40 under Forty” by the Silicon Valley/San Jose Business Journal. Colin worked as a research analyst and portfolio manager for regional investment companies Branch Cabell, & Co. and Hoefer and Arnett, Inc. before founding Summitry. Colin received a Bachelor of Arts degree in 1994 from Washington and Lee University, where he was a captain and All-American lacrosse player.
This article will go further into Colin Higgins’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the implications for law.
About Summitry
Summitry is a Bay Area wealth management firm that provides personalized financial planning and investment solutions based on area expertise. It helps people grow and protect their wealth so they can live their best Bay Area lives.
Summitry, LLC is a registered investment firm based in San Mateo, California. It oversees $2 billion in assets under management across 3,148 customer accounts, making it one of the largest investment advice businesses in the country in terms of assets under management. The firm advises 13 charitable organizations. 52% of its 3,148 accounts are held by high-net-worth investors with at least $1 million in investable assets.
The firm offers a variety of services, including financial planning, portfolio management for individuals and small enterprises, portfolio management for investment firms, portfolio management for institutional clients, and the selection of other advisers.
More Details
Founded in 2003, the firm has more than $1.7 billion in assets under management, a size large enough to have sophisticated systems, access to a wide range of institutional research tools and services, and employ the highest-caliber professional talent, all while maintaining the culture and personalized approach of a boutique investment firm.
Products & Services
Summitry offers a variety of financial services, including financial planning, portfolio management for individuals and small enterprises, portfolio management for investment companies, portfolio management for institutional clients, and the selection of other advisers. During the previous fiscal year, the organization supplied financial planning services to 101-250 of its clients. Aside from investing advice to its investment advisory clients, it does not sell products or provide services.
Core Advisor Services:
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child’s college education, or estate succession.
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services:
Selection of Other Advisors
This is the firm’s assistance with choosing other advisors to work with who may have different specialties.
Publication of Periodicals
This is the publication of various financial education materials.
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Types of Clients
Summitry works with a variety of different investors. Retail investors, high-net-worth investors, investment firms, pension plans, charitable organizations, and corporations are all served by the firm. Summitry, LLC serves 763 high-net-worth people among its 3,148 clients. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million, or who is a “qualified purchaser” (criteria reached by possessing at least $5 million in investments). None of its consumers are from other countries.
What is SEC?
The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.
Colin Higgins Disclosures: BrokerCheck, FINRA, And SEC
The report of Colin Higgins includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.
BrokerCheck
Source: https://adviserinfo.sec.gov/individual/summary/2813293
SEC Litigations & Forms
Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Colin+Higgins%27
Colin Higgins Lawsuits
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis.law, and Law360. If Colin Higgins has been involved in any such lawsuits, then you can find the documents using the links down below:
There might be more pending lawsuits against Colin Higgins that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Colin Higgins on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
Colin Higgins Complaints and Legal Battles
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Colin Higgins using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with Colin Higgins or any financial advisor.
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