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.

Firm class

independent wealth managerderivedprivate_client_share=0.78 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$119MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$0

Private client RAUM

$92.6MderivedItem 5.D individuals plus high net worth individuals

Private client share

78%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$119Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

4

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

308

Individual clients

93

High net worth clients

28

SEC number

801-130753

CRD

121371

Filings on the tape

5

First filed

Jun 25, 2024

Latest filed

Mar 23, 2026

Organised

Limited Liability Company, CT

• Occurred

  Jul 3, 2025
  Advisor changed firm

  Ashley Smelser left Sullivan Financial, Llc for Ameriprise Financial Services, Llc (registered 2025-10-16)

  Form ADVobserved 6 days ago
• Occurred

  Jun 25, 2024
  First Form ADV filing

  Sullivan Financial, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:abe4fb44-8457-f018-8ded-7e28dd2cc40d

First observed

Jun 25, 2024

Last observed

Mar 23, 2026 6 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.