# The Sullivan Group

> The Sullivan Group is a state-registered investment advisory firm in Roseville, CA, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 17, 2026.

- CRD: 150705
- Filed as: THE SULLIVAN GROUP
- Legal name: Capital Investment Management, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Roseville, CA
- Filing period: October 2026
- Form ADV filing dated: September 17, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/150705
- AdvisorCensus page: https://advisorcensus.com/firm/the-sullivan-group-roseville-ca-150705

## Quick answers

**How is The Sullivan Group compensated?**
On its Form ADV (Item 5.E, October 2026), The Sullivan Group reports these compensation arrangements: a percentage of assets under its management; commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is The Sullivan Group located?**
The Sullivan Group's principal office is in Roseville, CA, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is The Sullivan Group registered with the SEC or a state?**
The Sullivan Group is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 150705.

**How much does The Sullivan Group manage?**
The Sullivan Group reports $100,087,063 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (100% discretionary).

**What types of clients does The Sullivan Group serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (68); high net worth individuals (28).

**Does The Sullivan Group report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/150705

**What changed in The Sullivan Group's recent Form ADV filings?**
In the October 2026 filing data: Added an office in Laguna Niguel, CA. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $100,087,063
- Discretionary: $100,087,063
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 68 | $20,007,004 |
| High net worth individuals | 28 | $54,754,360 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | Fewer than 5 | $25,325,699 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2014 (12 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Laguna Niguel, CA

### Websites listed on Form ADV (Item 1.I)
- sullivangroup.net
- sullivangroupsocal.com
- Facebook @SULLIVANGRP
- X @SULLIVANGRP

## Changes in the filing (last 12 months)

### October 2026
- Added an office in Laguna Niguel, CA.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. The Sullivan Group (CRD 150705): Form ADV filing data as of October 2026.