{"url":"https://nivawealth.com/firms/sullivan-financial-121371","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/121371","regulatoryAum":119064924,"crd":"121371","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5632328","suffix":null,"lastName":"SULLIVAN","firstName":"MARY JANE","middleName":"NMN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-06-25","regulatoryAum":103801335,"clients":125,"employees":4,"offices":1},{"filedOn":"2025-07-03","regulatoryAum":110935667,"clients":132,"employees":3,"offices":1},{"filedOn":"2026-03-23","regulatoryAum":119064924,"clients":131,"employees":4,"offices":1}],"secFileNumber":"801-130753","legalName":"Sullivan Financial, LLC","displayName":"Sullivan Financial","slug":"sullivan-financial-121371","website":"https://sullfin.com/","classification":{"segment":"individuals","segmentLabel":"Wealth 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individuals","clients":28,"regulatoryAum":66486745},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":19747161},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":184567},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":6492394}],"feePrograms":[{"role":"other","program":"Consulting services","summary":"Consulting services are billed hourly at $250 to $500 per hour, with an estimate of hours agreed at the start.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023785","versionId":1023785,"submittedOn":"2026-03-23","documentName":"PART 2A:  FIRM BROCHURE"},{"role":"other","program":"Financial planning","summary":"Financial planning is a fixed fee of $2,500 to $5,000 for initial engagements, then $250 to $500 an hour for ongoing work.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023785","versionId":1023785,"submittedOn":"2026-03-23","documentName":"PART 2A:  FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:35:26.109237+00:00","documents":[{"name":"PART 2A:  FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023785","versionId":1023785,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Empower Trust Company, LLC","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":16136767},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":97726897}],"custodyNote":"Sullivan Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Mary Jane Sullivan","title":"Sole Owner/Chief Compliance Officer","crd":"5632328"}],"ownership":[{"label":"Mary Jane Sullivan","detail":"Sole owner/chief compliance officer in the 75% or more ownership band and a control person, since June 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"15a Main Street","city":"Essex","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"860-657-4150","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":84},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/121371/PDF/121371.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023785","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sullivan Financial have?","answer":"Sullivan Financial has 131 clients and manages $119 million for them, as of March 2026. They include 93 individual clients, 28 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sullivan Financial offer?","answer":"Sullivan Financial provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sullivan Financial use?","answer":"Sullivan Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $97.7M and Empower Trust Company, LLC (Greenwood Village, CO), with $16.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sullivan Financial have?","answer":"Sullivan Financial has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sullivan Financial invest in?","answer":"At the end of its last fiscal year, Sullivan Financial’s separately managed accounts held 84% registered funds (mutual funds, ETFs, BDCs), 11% exchange-traded equities, 3% state and local bonds and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sullivan Financial?","answer":"Sullivan Financial’s direct owner is Mary Jane Sullivan (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sullivan Financial get paid?","answer":"Sullivan Financial is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Sullivan Financial?","answer":"Sullivan Financial’s main office is at 15a Main Street, Essex, CT 06426. Its phone number is 860-657-4150. Its website is sullfin.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}