SourcingSourcing

SULLIVAN FINANCIAL, LLC

C49
CRD 121371·SEC 801-130753·ESSEX, CT
AUM
$119.1M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$357K
@ 30% margin
Est. Deal Value
$2.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SULLIVAN FINANCIAL, LLC
CRD
121371
SEC file #
801-130753
EIN
—
DBA names
—

Economics

AUM
$119.1M
AUM band
$100M-$500M
AUM trajectory
'25'26
$110.9M → $119.1M▲ +7%
Client mix
Individuals Other93
Individuals High Net Worth28
Pension Profit Sharing Plans6
Corporations3
Charitable Organizations1

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
1 advisors → 2 advisors▲ +100%
Primary office
ESSEX CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
twitter.com/sullfin(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SULLIVAN, MARY JANE, NMN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SULLIVAN, MARY JANE, NMN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:twitter.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
59,275
Form 5500 Compensation Trajectory 3y
202559,275
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
59,275
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
5632328
Trust Company Affiliate
No

People (2)

2
SULLIVAN, MARY JANE, NMN
IAR · Direct Owner · 87.5%
5632328
Catherine Cusson
IAR
7775117