RIA Intelligence

FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC

CRD #138197 SEC #801-65386 NEW YORK, NY 212-339-5400
SEC Registered
Total AUM
$1.6B
Discretionary
$1.6B
Employees
10
Clients
--
Accounts
7

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 30, 2007
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
FRASER, JOHN, WILLIAMIMANAGERNA Control
FRASER, JOHN, WILLIAMICHIEF COMPLIANCE OFFICERNA Control
FRASER, JOHN, WILLIAMIMANAGERNA Control
FRASER, JOHN, WILLIAMICHIEF COMPLIANCE OFFICERNA Control
FRASER, JOHN, WILLIAMIMANAGERNA Control
SULLIVAN, TIGHE, PETERIMANAGERNA Control
SULLIVAN, TIGHE, PETERIMANAGERNA Control
SULLIVAN, TIGHE, PETERIMANAGERNA Control
FRASER SULLIVAN & CO., LLCDEMANAGING MEMBERE Control
FRASER SULLIVAN & CO., LLCDEMANAGING MEMBERE Control
FRASER SULLIVAN & CO., LLCDEMANAGING MEMBERE Control
ENDLER, DAVID, SCOTTIMEMBERA
ENDLER, DAVID, SCOTTIMEMBERA
ENDLER, DAVID, SCOTTIMEMBERA
NADEAU, DAVID, ARTHURIMEMBERA
NADEAU, DAVID, ARTHURIMEMBERA
NADEAU, DAVID, ARTHURIMEMBERA
SOSLAND, MATTHEW, AISENIOR ANALYSTA

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
FRASER, JOHN, WILLIAMIFRASER SULLIVAN & CO., LLCD Control
FRASER, JOHN, WILLIAMIFRASER SULLIVAN & CO., LLCD Control
FRASER, JOHN, WILLIAMIFRASER SULLIVAN & CO., LLCD Control
SULLIVAN, TIGHE, PETERIFRASER SULLIVAN & CO., LLCD Control
SULLIVAN, TIGHE, PETERIFRASER SULLIVAN & CO., LLCD Control
SULLIVAN, TIGHE, PETERIFRASER SULLIVAN & CO., LLCD Control

Registrations

Federal

IA
Mar 30, 2007 REGISTERED

Notice Filings (1)

NY

Address

400 MADISON AVENUE, 9TH FLOOR
NEW YORK, NY 10017
USA
Phone: 212-339-5400