RIA Intelligence

CAPITAL INVESTMENT MANAGEMENT, LLC

Legal name: THE SULLIVAN GROUP

CRD #150705 SEC #801-70367 ROSEVILLE, CA 916-797-8500
SEC Registered
Total AUM
$66.2M
Discretionary
$66.2M
Employees
4
Clients
0
Accounts
558

Firm Details

Organization Type
Limited Liability Company
State of Formation
California
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Feb 14, 2014
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
GORCZYCA, PAMELA, KAYIPRESIDENT & CHIEF COMPLIANCE OFFICERE Control
HALVERSTADT, KURT, JAMESICHIEF COMPLIANCE OFFICERD Control
HALVERSTADT, KURT, JAMESICHIEF COMPLIANCE OFFICERD Control
HALVERSTADT, KURT, JAMESICHIEF COMPLIANCE OFFICERD Control
HALVERSTADT, KURT, JAMESIMANAGING MEMBERD Control
HALVERSTADT, KURT, JAMESIMANAGING MEMBERD Control
HALVERSTADT, KURT, JAMESIMANAGING MEMBERD Control
HALVERSTADT, KURT, JAMESICHIEF COMPLIANCE OFFICERD Control
HALVERSTADT, KURT, JAMESIMANAGING MEMBERD Control
HALVERSTADT, KURT, JAMESIPRESIDENTD Control
LEHMANN, SEAN, ANTHONYIPRESIDENTD Control
LEHMANN, SEAN, ANTHONYIPRESIDENTD Control
LEHMANN, SEAN, ANTHONYIPRESIDENTD Control
LEHMANN, SEAN, ANTHONYIMANAGING MEMBER AND CHIEF COMPLIANCE OFFICERD Control
LEHMANN, SEAN, ANTHONYIMANAGING MEMBER AND CHIEF COMPLIANCE OFFICERD Control
LEHMANN, SEAN, ANTHONYIMANAGING MEMBER AND CHIEF COMPLIANCE OFFICERD Control
LEHMANN, SEAN, ANTHONYIPRESIDENTD Control
LEHMANN, SEAN, ANTHONYIMANAGING MEMBER AND CHIEF COMPLIANCE OFFICERD Control
LEHMANN, SEAN, ANTHONYICHIEF COMPLIANCE OFFICERD Control

Registrations

Federal

IA
Feb 14, 2014 REGISTERED

Notice Filings (2)

CA NE

Address

564 NORTH SUNRISE AVENUE
ROSEVILLE, CA 95661
United States
Phone: 916-797-8500