Soleil K. Lum

SUMMIT ASSET MANAGEMENT LLC

Memphis, TN 38117

Some features on this profile are disabled

CRD#: 6227870

Professional summary

Soleil Katherine Lum, CFP®, who also goes by Soleil Katherine Burleigh, Soleil Kathering Burleigh, is a registered financial advisor currently at SUMMIT ASSET MANAGEMENT LLC located in Memphis, Tennessee.

Soleil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Soleil has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Soleil Katherine Burleigh | Soleil Kathering Burleigh

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 Soleil Katherine Lum'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

September 17, 2018 - Present

SUMMIT ASSET MANAGEMENT LLC

Office #1: 5100 Wheelis Drive Suite 107, Memphis, TN 38117

RIA

CRD#: 109606

Memphis, TN

Past

December 11, 2013 - April 29, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SHREVEPORT, LA

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".

SUMMIT ASSET MANAGEMENT LLC

CRD#: 109606 / SEC#: 801-56221

RIA

Registered Investment Advisory firm - (1/21/1999 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

Tennessee
(9/17/2018)

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

Series 63

Date: 1/27/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/11/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUMMIT ASSET MANAGEMENT LLC

CRD#: 109606 / SEC#: 801-56221

RIA

Registered Investment Advisory firm - (1/21/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5100 Wheelis Drive Suite 107, Memphis, TN 38117

Mailing Address

Phone number

(901) 729-8100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMIT ASSET MANAGEMENT BROCHURE (10/14/2025)

Regulatory assets under management

Total Number of Accounts	1,477
AUM (Assets Under Management)	$ 938,920,408

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Soleil K. Lum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Soleil Katherine Lum's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT ASSET MANAGEMENT LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SUMMIT ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2014

SIE

Date: 4/29/2016

Series 6

Date: 12/11/2013

Current Firm

SUMMIT ASSET MANAGEMENT LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors