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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SULLIVAN & ASSOCIATES

SULLIVAN PATRICK LEA, CRD 106570

COLORADO SPRINGS, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15b022c3-74a7-82bf-31f2-dc528d359c57

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Mar 30, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Accounts: 0
SEC number: 801-16369
CRD: 106570
Filings on the tape: 2
First filed: Mar 12, 2012
Latest filed: Mar 30, 2012
Organised: Sole Proprietorship, Colorado

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
Kevin Patrick Sullivan	Certified Financial Planner	COLORADO SPRINGS, CO	17	33	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SULLIVAN, PATRICK, LEA	Owner	E	yes	04/1981	Mar 12, 2012	Mar 30, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Aspen	Co	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$0	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (2)

← Kevin Patrick SullivanAdvisorregistration: previous registration
Nov 2, 2007 to Dec 31, 2011factForm ADV
← RANDY LEE HALFPOPAdvisorregistration: previous registration
Nov 2, 2007 to Jun 14, 2011factForm ADV

Controls (1)

← SULLIVAN, PATRICK, LEAOwnerOWNER, ownership code E, individual
Mar 12, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15b022c3-74a7-82bf-31f2-dc528d359c57
First observed: Mar 12, 2012
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SULLIVAN & ASSOCIATES

SULLIVAN PATRICK LEA, CRD 106570

COLORADO SPRINGS, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15b022c3-74a7-82bf-31f2-dc528d359c57

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Kevin Patrick Sullivan

Certified Financial Planner

COLORADO SPRINGS, CO

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SULLIVAN, PATRICK, LEA

Owner

yes

04/1981

Mar 12, 2012

Mar 30, 2012

City

State

Country

Employees

Also broker-dealer

Aspen

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

n/a