The Sullivan Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The Sullivan Group is a California‑licensed investment advisory firm with three advisors and about $100 million in discretionary assets under management, serving roughly 96 clients. It offers discretionary portfolio management, customized financial planning, and retirement plan consulting, including 401(k) plan monitoring and participant education.
The firm builds customized, long‑term portfolios based on each client’s objectives, risk tolerance and time horizon, employing fundamental, technical and cyclical analysis across equities, fixed income, mutual funds, ETFs, options and selected alternative investments. It typically recommends custody through Altruist, may refer assets to unaffiliated third‑party managers when a strategy falls outside its expertise, and acts as a fiduciary for retirement accounts it advises.
A distinctive aspect of the firm is that certain principals hold insurance and broker‑dealer registrations and may receive brokerage commissions for insurance product sales, a practice that is relatively uncommon among peers in this category. The Sullivan Group also periodically participates in IPOs and may recommend private equity and other alternatives for qualified clients, and it may include third‑party managed assets or referral arrangements in its fee or service relationships.
Client services
Expertise
Fee options
$0 - $500,000: 1.75% $500,000 - $1,000,000: 1.50% $1,000,000+: 1.25%
Brokerage commissions on the sale of insurance products paid to individual licensed insurance agents and registered representatives associated with the firm.
Account minimum: $250,000
Main office
See office564 North Sunrise Avenue
Roseville CA 95661
Advisors at this office
1
Offices (3)
Most active in
California · Texas
Also doing business as
Capital Investment Management Group, Inc. · Capital Investment Management, LLC · The Sullivan Group
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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.
Quick links
Advisors at this firm
Sean L
Series 63, Series 65
Menifee, CA
The Sullivan Group
Sean Lehmann is a financial advisor at The Sullivan Group with 32 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Capital Investment Management, LLC, doing business as The Sullivan Group, and Purshe Kaplan Sterling Investments since 2009. Outside of his advisory role, he provides professional pilot services on an occasional basis. The Sullivan Group is a California-licensed investment advisory firm serving approximately 96 clients with about $100 million in discretionary assets under management. The firm offers discretionary portfolio management, customized financial planning, and retirement plan consulting, constructing long-term portfolios tailored to clients’ objectives and risk tolerance using various analytical approaches across multiple asset classes.
Kurt H
Series 63, Series 65
Roseville, CA
The Sullivan Group
Kurt Halverstadt is an advisor at The Sullivan Group in Roseville, CA, holding Series 63 and Series 65 licenses with 38 years of industry experience. He has been with Capital Investment Management, LLC, doing business as The Sullivan Group, since 2009. In addition to his advisory role, he is involved with Brightstar Insurance Partners, where he works in life insurance sales. The Sullivan Group is a California-licensed investment advisory firm serving approximately 96 clients with discretionary portfolio management, customized financial planning, and retirement plan consulting. The firm constructs portfolios tailored to client objectives using fundamental, technical, and cyclical analysis across a range of asset classes and acts as a fiduciary for retirement accounts.
Allison P
Series 63, Series 65
Menifee, CA
The Sullivan Group
Allison Peterson is a financial advisor at The Sullivan Group with 15 years of industry experience. She holds the Series 63 and Series 65 designations and has worked at Purshe Kaplan Sterling Investments since 2011. In addition to her advisory role, she serves as a Senior Administrative Assistant for the City of Dana Point’s Planning Department. The Sullivan Group is a California-licensed investment advisory firm managing approximately $100 million in discretionary assets for about 96 clients. The firm offers portfolio management, financial planning, and retirement plan consulting, using a range of investment analyses and vehicles tailored to client objectives.
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