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SULLIVAN FINANCIAL, LLC
CRD 121371 · SEC 801-130753
15A MAIN STREET, ESSEX, CT, 06426, United States
Phone
(860)657-4150
Fax
(860)657-4206
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$119.1M
Discretionary AUM
$0
Team
4 total employees; 2 advisory reps
Clients
101-250
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Limited Liability Company
Filing date
2026-03-23
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Selection of other advisersFINANCIAL CONSULTING
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 93 | $26.2M |
| High net worth individuals | 28 | $66.5M |
| Pension/profit sharing plans | 6 | $19.7M |
| Charitable organizations | 1 | $185K |
| Corporations/business entities | 3 | $6.5M |
States served
MA, PA, TX, NH, CT, FL
All web addresses on file
Official SEC filing: View on IAPD