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Moody Aldrich & Sullivan LLC (Marblehead)


Moody Aldrich & Sullivan LLC is a large advisory firm based in Marblehead. It manages $86.98 million of regulatory assets for 47 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Connecticut, Florida, and 11 other states.

Moody Aldrich & Sullivan provides portfolio management for individuals and small businesses and 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.

Moody Aldrich & Sullivan: assets under management

The assets under management (AUM) of Moody Aldrich & Sullivan LLC is $86.98 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -48% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $86.98 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.85 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Moody Aldrich & Sullivan LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Neil Joseph Sullivan Non member 1 Jun 1988 25% - 50% xxx-xx-xxxx
Mark Hoffman Non member 1 Jun 1988 25% - 50% xxx-xx-xxxx

Based in Marblehead

The principal office where Moody Aldrich & Sullivan LLC performs its advisory services is located at 18 Sewall Street, Marblehead, MA 01945, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 781-639-2750 or by fax 781-639-2751. The normal business hours are 9:00 a.m - 4:30 p.m. on Monday - Friday.


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