Sullivan Investment Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$111,800,000
Clients
151
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
151
Very HighAverage 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
Portfolio management
Expertise
Passive / index investing
Active portfolio management
Concentrated stock management
Income planning
Occupation focus
Founder/Business Owner
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
Sullivan Investment Management LLC has reported serving >5 clients in these states in the last 12 months.
Michigan
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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