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The Sullivan Group

Updated today

Total assets under management

$100,087,063

Total clients

96

29% high-net worth

Total advisors

3

of 3 employees

Firm size

Supported

1-3 advisors or $200M+ in AUM

Average clients per advisor

32

Average account size

$1,042,574

About

The Sullivan Group provides discretionary investment management and related planning services to individuals (including high‑net‑worth clients), trusts, retirement plans, and other entities. It also offers pension/401(k) advisory services that include plan monitoring, investment option review, and participant education.

The firm builds customized investment plans based on each client’s objectives, risk tolerance and time horizon and employs a mix of fundamental, technical and cyclical analysis. Portfolios may include equities, bonds, mutual funds, ETFs, options and selected alternative investments, and the firm will engage unaffiliated third‑party managers or participate in IPOs when deemed suitable for a client.

Notably, the firm’s principals are also licensed insurance agents and registered representatives and may receive brokerage commissions for insurance product sales, a practice the brochure highlights as a potential conflict of interest and is uncommon among similarly supported firms. The Sullivan Group is a small advisory team (three advisors, roughly $86 million in AUM) that recommends a specific custody/platform relationship which provides technology and other services to the firm and that the brochure describes as providing benefits to the firm that clients should consider.

Client services

Portfolio management

Expertise

Private / alternative investments Options & derivatives strategies Real estate investing

Occupation focus

Founder/Business Owner Airline Pilot

Fee options

Percentage

$0 - $500,000: 1.75% $500,000 - $1,000,000: 1.50% $1,000,000+: 1.25%

Commissions

Brokerage commissions may be received by Messrs. Halverstadt and Lehmann as licensed insurance agents and registered representatives for insurance product transactions.

Other

Account minimum: $250,000

Main office location

The Sullivan Group

564 North Sunrise Avenue

Roseville CA 95661, United States

Number of offices

2

Most active in

California · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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