Sullivan Investment Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$111,800,000
Total clients
151
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
151
Average account size
$740,397
About
Sullivan Investment Management provides equity, balanced and fixed-income portfolio management to both individual clients (including high-net-worth clients) and a range of institutional clients. The firm manages accounts on a discretionary basis and offers both a Diversified Mutual Fund Program and a Custom Investment Services Program.
The firm’s investment approach combines a proprietary mutual-fund selection process—screening a universe of over 3,500 no-load funds to select 20–30 “best of class” funds across three model strategies (Income & Growth, Conservative Equity, Total Return)—with individual equity and fixed-income security selection for custom portfolios. Portfolios emphasize mid-cap exposure, fundamental and technical research aimed at earnings growth, and fixed-income laddered or barbell strategies, with research supplemented by third-party providers and soft-dollar arrangements.
Noteworthy for a firm of this size, its client mix explicitly includes corporate pension and profit-sharing plans, charitable institutions, foundations, and endowments in addition to individual households, client types that are less common among independent advisers. The firm combines a mutual-fund-driven suite of strategies with bespoke equity and bond management and augments internal analysis with external research partnerships while managing approximately $111.8 million in discretionary assets.
Client services
Expertise
Occupation focus
Fee options
$0 - $1,000,000: 1.0% (Custom Investment Services Program); 0.8% (Diversified Mutual Fund Program) $1,000,001 - $1,500,000: 0.8% (Custom Investment Services Program); 0.6% (Diversified Mutual Fund Program) $1,500,001+: 0.4% (Custom Investment Services Program); 0.3% (Diversified Mutual Fund Program)
Account minimum: $200,000 Minimum fee: $800 minimum annual fee Fee-only: Fees are charged as asset-based fees plus a base fee; no commissions are received by the firm
Main office location
Sullivan Investment Management LLC
320 W Grand Ave, Ste 303
Wisconsin Rapids WI 54495, United States
Number of offices
1
Most active in
Florida · Michigan · Wisconsin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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