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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SULLIVAN & SERWITZ

SULLIVAN & SERWITZ INVESTMENT ADVISORS INC, CRD 106029

LOS ALTOS, CA

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:c38c5e5c-f352-1593-e9b1-762fca45c667

Data as of Aug 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2012 to Aug 13, 2012
7 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
SEC number: 801-40244
CRD: 106029
Filings on the tape: 7
First filed: Feb 17, 2012
Latest filed: Aug 13, 2012
Organised: Corporation, California

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
SERWITZ, MARSHALL, DAVID	Chairman	D	yes	08/1989	Feb 17, 2012	Aug 13, 2012
SULLIVAN, ROBERT, JOSEPH	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	08/1989	Feb 17, 2012	Aug 13, 2012

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	Feb 17, 2012	$527M	$0	n/a	n/a	n/a	n/a	n/a

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	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← SERWITZ, MARSHALL, DAVIDOwnerCHAIRMAN, ownership code D, individual
Feb 17, 2012 to presentfactForm ADV
← SULLIVAN, ROBERT, JOSEPHOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 17, 2012 to presentfactForm ADV

Registered with (1)

← HOWARD BRUCE SUSSMANAdvisorregistration: previous registration
Apr 9, 2009 to Sep 3, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c38c5e5c-f352-1593-e9b1-762fca45c667
First observed: Feb 17, 2012
Last observed: Aug 13, 2012 171 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 & SERWITZ

SULLIVAN & SERWITZ INVESTMENT ADVISORS INC, CRD 106029

LOS ALTOS, CA

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:c38c5e5c-f352-1593-e9b1-762fca45c667

Data as of Aug 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SERWITZ, MARSHALL, DAVID

Chairman

yes

08/1989

Feb 17, 2012

Aug 13, 2012

SULLIVAN, ROBERT, JOSEPH

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

08/1989

Feb 17, 2012

Aug 13, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 17, 2012

$527M

n/a

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