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Fraser Sullivan Investment Management, LLC (New York)


Fraser Sullivan Investment Management, LLC is a large advisory firm based in New York. It manages $1.3 billion of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Connecticut.

Fraser Sullivan Investment Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fraser Sullivan Investment Management: assets under management

The assets under management (AUM) of Fraser Sullivan Investment Management, LLC is $1.3 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 160% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $1.3 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $432.8 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fraser Sullivan Investment Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
John William Fraser Member & manager 1 Aug 2005 50% - 75% 1770788
Tighe Peter Sullivan Member & manager 1 Aug 2005 50% - 75% 1586841
Estate Of Tighe Peter Sullivan Managing member 1 Aug 2005 25% - 50% 1586841
Jonathan M (Mi Only) Rather Managing member 1 Nov 2007 Other 5880849

Based in New York

The principal office where Fraser Sullivan Investment Management, LLC performs its advisory services is located at 400 Madison Avenue, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Darien, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212 339-5400 or by fax 212-339-5401. The normal business hours are 9am-5pm on Monday - Friday.


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