Alex B. Katz

SUMMITRY

San Mateo, CA 94404

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CRD#: 2917866

Professional summary

Alex Barth Katz is a registered financial advisor currently at SUMMITRY, LLC located in San Mateo, California.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alex has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Barth Katz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 15, 2018 - Present

SUMMITRY, LLC

Office #1: 1850 Gateway Drive, Suite 100, San Mateo, CA 94404

RIA

CRD#: 128586

San Mateo, CA

Past

May 16, 2012 - June 8, 2017

OPES ADVISORS, INC.

RIA

CRD#: 132996

CUPERTINO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUMMITRY, LLC

GOLUB GROUP INC | THE GOLUB GROUP | SUMMITRY, LLC | GOLUB GROUP, LLC

CRD#: 128586 / SEC#: 801-62398

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/15/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/15/2012

Uniform Investment Adviser Law Examination

Current Firm

SUMMITRY, LLC

GOLUB GROUP INC | THE GOLUB GROUP | SUMMITRY, LLC | GOLUB GROUP, LLC

CRD#: 128586 / SEC#: 801-62398

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

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Contact information

Main Address

919 Hillsdale Blvd. Suite 150, Foster City, CA 94404

Mailing Address

Phone number

(650) 212-2240

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,384
AUM (Assets Under Management)	$ 3,008,628,872

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Alex B. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Barth Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMITRY, LLC

OPES ADVISORS, INC.

Primary Firm SEC Registration

SUMMITRY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2012

Current Firm

SUMMITRY, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMITRY, LLC

TRUST BUT VERIFY

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