The Sullivan Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • 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
Expertise
Occupation focus
Fee options
$0 - $500,000: 1.75% $500,000 - $1,000,000: 1.50% $1,000,000+: 1.25%
Brokerage commissions may be received by Messrs. Halverstadt and Lehmann as licensed insurance agents and registered representatives for insurance product transactions.
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
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.
Forms ADV
Quick links
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