7Summit Leadership

As principal and founding partner of 7Summit, Li Chang, CFP® manages the firm and guides asset allocation and wealth management services. Li has 25 years of experience trading and serving high net worth clients. Most recently, he acted as strategist and wealth management advisor at KAM Advisors, ranked #1 among the “Top 50 Fastest-Growing Firms” in FA Magazine, July 2011. Prior to joining KAM Advisors, he served as Financial Consultant and Relationship Manager to wealthy investors at E*TRADE Securities and E*TRADE Capital Management, where he held Series 7, 55 and 66 licenses. Li has trading experience with two proprietary trading firms, and he started his investment career as a trading assistant on the Pacific Stock Exchange.

Li earned his Bachelor of Arts in Economics from the University of California, Los Angeles, is a UCLA Anderson School of Management Riordan Fellows Program alumnus, and was named Owner / Manager of the Year by the UCLA Anderson School Howard Price Center of Entrepreneurial Studies. He is a CFA level III candidate. A Certified Financial Planner (CFP®), Li earned his Certificate in Personal Financial Planning with distinction from UCLA Extension.

He serves on the Guggenheim RIA Advisory Board, STOP CANCER Board and as a NFLPA Registered Player Financial Advisor.

Li was chosen to serve on the Guggenheim RIA Advisory Board due to the strength of his commitment to excellence and influence within the financial services industry. As a member of the advisory board, Guggenheim becomes an important collaborator with 7Summit Quality of Thought, allowing Li to leverage the collective experience of these peers and to access and contribute to Guggenheim Investments' intellectual capital, product development and risk management expertise.

Private Client Services

Janice has 16 years of experience in the financial services industry, specializing in portfolio accounting and reporting for high net worth clients and institutions. Before joining 7Summit Advisors, LLC, Janice held the position of Senior Associate, Operations at Research Affiliates, LLC. While there, Janice was responsible for client accounting and reporting, as well as operational duties that included performance measurement and composite maintenance in accordance with GIPS standards, trade settlement, proxy voting and corporate actions. Prior to Research Affiliates, Janice was the Operations Manager at Saddle Peak Asset Management, LLC where she executed all aspects of the company’s operational functions in conjunction with client billing and office management. Before joining Saddle Peak Asset Management, Janice worked at Pacific Financial Research Inc. as an Institutional Client Accountant. Earlier, Janice worked as an Investment Associate at Fiduciary Trust International of California. Janice graduated cum laude from UCLA with a Bachelor’s Degree in Economics/International Area Studies.

Advisory Board

Cynthia Harrington & Associates LLC (CHA) provides behavioral consulting and coaching to the asset management industry. CHA offers two products that provide behavioral solutions for investors as well as for asset managers in managing their investment talent. She is the founding CEO of Team(You), a behavioral management program for schools. CHA's clients are asset managers with AUM between $100 million to $5 billion as well as institutional investors, consultants and family offices with ongoing due diligence on managers. Cynthia was cited as one of the "fifty prominent authority on performance measurement". She holds the designation of chartered financial analyst (CFA). An award winning journalist, over four hundred of her articles are in publications such as CFA Magazine, Fraud Magazine, Accounting Today, Financial Engineering News, and Journal of Accountancy. She co authored two textbooks: Corporate Finance for the CFA program, and the Association of Certified Fraud Examiners’ course on Financial Statement Fraud. Prior to launching CHA, Cynthia founded and managed Harrington Capital Management, a SEC-registered large cap value manager. Her firm followed a large cap value style, using a market behavioral model for timing of purchases and sales. Before that, she advised the high net worth and small institution market at Piper Jaffray and Bear Stearns. She is a member of the CFA Institute and is a member of the Advisory Council of 100 Women in Hedge Funds.

Jaye Scholl, president of Hedge Fund Advisers, Inc. is the former west coast editor of Barron’s Business and Financial Weekly, where she initiated quarterly coverage of mutual funds and hedge funds. She subsequently served as director of communications for a third-party marketing firm, representing value-oriented hedge funds. She is a contributing author of Writing About Business and A Guide to Economics and Business Reporting, both published by Columbia University Press. She was a Knight-Bagehot Fellow at Columbia University’s Graduate School of Business and earned a B.A. degree in history from Skidmore College. She has held FINRA Series 7 and 63 licenses.

Our Service Provider Team

Schwab Advisor Services

Schwab Advisor Services serves more independent advisors than any other custodian. For over 20 years we've helped advisors run their businesses and grow their firms. Schwab now custodies 2.1 million client accounts, representing $708 billion in assets managed by investment advisors. Services include keeping advisors ahead of industry trends with the latest ideas and best practices to make better-informed business decisions. Our thought leadership resources include white papers, publications, and an online resource library. Schwab supports advisers with insights from webcasts on topics including business strategy and planning, investment strategies and industry trends and compliance and legal issues.

Schwab Performance Technologies®

Schwab Performance Technologies® has served financial professionals for 40 years by providing technology advisers need to grow. More than 3,600 independent financial advisors and investment managers use Schwab’s powerful portfolio data-management and reporting solutions to monitor and report on customer accounts. A subsidiary of The Charles Schwab Corporation, we aggregate expertise from across the entire Schwab enterprise to deliver best-in-class service. The open-architecture platform offers multiple solutions to efficiently manage client information across multiple custodians and third-party applications. Powerful analysis and support tools can help you make more informed investment decisions and reporting for investors.

Ashland Partners

Ashland Partners is a specialty CPA firm focused on the investment management industry. Ashland Partners’ sole focus is providing Global Investment Performance Standards (GIPS) compliance and verification, accounting and consulting services to the investment management community. With 100% of professional resources are dedicated to providing GIPS verification, performance attestation, accounting and consulting services to the investment management industry, Ashland is a leading service provider in a rapidly growing marketplace serving firms worldwide with offices located in Jacksonville, Jersey City, Boston, Chicago, Denver, Shanghai, Tokyo and Seoul.

RIA in a Box®

RIA in a Box® has helped over 2,000 investment advisers start an RIA firm, and also provides ongoing monthly compliance assistance to over 1,200 SEC and state-registered RIA firms across the country. The investment adviser compliance programs pair the MyRIAComplianceTM online software platform with compliance consulting expertise provided by a team of former regulators. Beyond RIA registration and compliance services, RIA in a Box assists investment advisers with broader business decisions such as custodian and technology selection and many other considerations related to being an independent investment adviser. In addition, Rushmore Advisor Services, a division of RIA in a Box®, serves a number of investment adviser firms with its robust practice management technology platform.