# SUMMIT PLANNING GROUP, INC.

SUMMIT PLANNING GROUP, INC. of E. SYRACUSE, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 125994
- Type: SEC-registered investment adviser
- SEC file number: 801-122168
- Location: 6674 HAMMERSMITH DR., E. SYRACUSE, NY, 13057
- Phone: 315-425-0344
- Latest filing: 2026-03-30
- Regulatory AUM: $111.0M
- Discretionary AUM: $102.7M
- Non-discretionary AUM: $8.3M
- Clients: 4
- Accounts: 459

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth

## Officers, owners & control persons (2)

| Name | Role | Location |
| --- | --- | --- |
| Richard John Urciuoli | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| URCIUOLI JOSEPH JOHN | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-09-18 | regulatory | THESE PROCEEDINGS ARISE OUT OF BREACHES OF THE FIDUCIARY DUTY OF CARE AND COMPLIANCE FAILURES BY SUMMIT, A REGISTERED INVESTMENT ADVISER, AND URCIUOLI, SUMMIT'S SOLE OWNER AND INVESTMENT PROFESSIONAL, WHO INVESTED ADVISORY CLIENT ASSETS IN A VOLATILITY LINKED EXCHANGE TRADED PRODUCT-THE IPATH SERIES… | Final | $109K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/125994/brochure
- Similar advisers: https://search.stillhousedata.com/firm/125994/similar
- Related entities: https://search.stillhousedata.com/firm/125994/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/125994

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.