AdvisorCensus / Financial advisors / Wisconsin / Sullivan Investment Management LLC
Sullivan Investment Management LLC is an SEC-registered investment advisory firm in Wisconsin Rapids, WI, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.
Quick answers
From the filingHow is Sullivan Investment Management LLC compensated?
On its Form ADV (Item 5.E, October 2026), Sullivan Investment Management LLC reports these compensation arrangements: a percentage of assets under its management.
Where is Sullivan Investment Management LLC located?
Sullivan Investment Management LLC's principal office is in Wisconsin Rapids, WI, according to its Form ADV.
Is Sullivan Investment Management LLC registered with the SEC or a state?
Sullivan Investment Management LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 289217.
How much does Sullivan Investment Management LLC manage?
Sullivan Investment Management LLC reports $111,800,000 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary).
What types of clients does Sullivan Investment Management LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (151).
Does Sullivan Investment Management LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289217
Does Sullivan Investment Management LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 12, 2026 says: "The minimum account size is $200,000, however exceptions may be made for relatives of existing clients."
What changed in Sullivan Investment Management LLC's recent Form ADV filings?
In the May 2026 filing data: Newly registered with the SEC.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $200,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The minimum account size is $200,000, however exceptions may be made for relatives of existing clients.
Minimum annual fee: $800
The brochure's wording
Sullivan Investment Management does maintain a minimum fee of $800. In special circumstances fees are negotiable.
As stated in the firm's Form ADV Part 2A brochure dated March 12, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$111,800,000 as of October 2026, filing dated March 24, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- May 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Sullivan Investment Management LLC (CRD 289217): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/sullivan-investment-management-llc-wisconsin-rapids-wi-289217