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James Sullivan
29 Years of Experience
Washington, DC
1 Disclosure
James Sullivan is a registered investment advisor at Sullivan Wood Capital Management, LLC, based in Washington, DC, with 29 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 79 clients with $88M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
79 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$87.7M
Fee Structure
Minimum Investment:$100K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $1.0M | 1.25% |
| $1M+ | 1.00% |
All fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
1100 H St Nw, Suite 910, Washington, DC, 20005
Get directionsHistory
Regulatory History (1)
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Criminal
January 1991Final Disposition
Employment History
Current Registrations
Sullivan Wood Capital Management, LLC
February 2011 - Present · 15 yrs 3 mos
Previous Registrations
Fbr Investment Services, INC.Broker
September 2004 - August 2007 · 2 yrs 11 mos
Sullivan Wood Capital Management, LLC
March 2003 - December 2010 · 7 yrs 9 mos
Locust Street Securities, INC.
January 2003 - April 2003 · 3 mos
Locust Street Securities, INC.Broker
September 2002 - April 2003 · 7 mos
Friedman, Billings, Ramsey & CO., INC.Broker
October 2000 - September 2002 · 1 yr 11 mos
Kaufman Bros., L.P.Broker
April 1999 - October 2000 · 1 yr 6 mos
Fahnestock & CO., INC.Broker
November 1998 - March 1999 · 4 mos
Janco Partners, INC.Broker
September 1997 - September 1998 · 1 yr
Nathan & Lewis Securities, INC.Broker
July 1996 - June 1997 · 11 mos
Mfi Investments CORP.Broker
September 1995 - May 1996 · 8 mos
State Registrations3 states
DCMDVA
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.