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

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$66.2MItem 5.F on the latest filing (2014-03-27); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$66.2M

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

3

RAUM per advisor

$22.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

3

Advisory employees

3

Accounts

558

SEC number

801-70367

CRD

150705

Filings on the tape

6

First filed

Mar 6, 2012

Latest filed

Mar 27, 2014

Organised

Limited Liability Company, California

• Occurred

  Mar 27, 2013
  Succession filed (Item 4)

  The Sullivan Group reported succeeding to the business of Another Adviser (Form ADV Item 4)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:cc430fdb-3d40-c87e-c40f-242bc8c2e0ca

First observed

Mar 6, 2012

Last observed

Mar 27, 2014 152 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.