Sullivan Financial, Llc
- Regulatory AUM
- $119M
- Discretionary
- $0
- Clients
- 131
- Avg AUM / client
- $909K
- Accounts
- 308
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 93 | $26.2M | 22.0% |
| High net worth individuals | 28 | $66.5M | 55.8% |
| Pension and profit sharing plans | 6 | $19.7M | 16.6% |
| Charitable organizations | 1 | $185K | 0.16% |
| Corporations and other businesses | 3 | $6.5M | 5.45% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Lorensen Enterprises Inc. 401(k) Psp & Trust Lorensen Enterprises Inc. | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mary Jane Nmn Sullivan | Sole Owner/Chief Compliance Officer | CFP | Jan 2009 (18y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Lorensen Enterprises Inc. 401(k) Psp & Trust | Lorensen Enterprises Inc. | 191 | $8.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 974 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $97.7M (82% of AUM) Mar 2026
- Mid Atlantic Trust Company $17.2M (17% of AUM) Aug 2024
- Empower Trust Co $16.1M (14% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 23, 2026.
View current Form ADV (SEC/IAPD) ↗