Harris Bretall Sullivan & Smith LLC (Cambridge)


Harris Bretall Sullivan & Smith LLC is a large advisory firm based in Cambridge. It manages $2.32 billion of regulatory assets for 7,326 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 46 other states.

Harris Bretall Sullivan & Smith provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harris Bretall Sullivan & Smith: assets under management

The assets under management (AUM) of Harris Bretall Sullivan & Smith LLC is $2.32 billion. The firm's AUM has gone down by -62% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.27 billion in discretionary accounts and $43.8 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $310.43 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $43.8 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harris Bretall Sullivan & Smith LLC for their services and products based on a percentage of assets under management, fixed fees, 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.

Careers at Harris Bretall Sullivan & Smith LLC

Walter Graeme Bretall has been acting as President since 1 Nov 1997. John Carroll Duane joined the executive team most recently as the Director Of Operations/Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
John James Sullivan Member, executive v.p. 1 Nov 1997 Other 2162876
Henry B Dunlap Smith Member, executive v.p. 1 Nov 1997 Other 2162881
Susan Anne Foley Member, executive v.p. 1 Nov 1997 Other 1188598
Gordon Joseph Ceresino Member, executive v.p. 1 Nov 1997 Other 722160
David Scott Post Member, executive v.p. 1 Nov 1997 Other 1225121
Hbss Acquisition Co. Member 1 Nov 1997 75% - 100% 06-1493393
Walter Graeme Bretall President 1 Nov 1997 Other 2164562
William Sampson Mccreery Executive v.p., cao, dir-mngd acct svcs 1 Nov 1997 Other 1208446
William Sampson Mccreery Exec vp/dir-mngd acct svcs/comp officer 1 Feb 2002 Other 1208446
James Joseph Cahill Director 1 Feb 2002 Other 2071394
David Anthony Minella Director 1 Feb 2002 Other 1368533
Mark Hyland Deblois Director 1 Feb 2002 Other 4512975
Robert Schorr Berman Director/president-mdt advisers division 1 Aug 2002 Other 4334511
Kenneth J Revis Portfolio mgr-mdt advisers division 1 Aug 2002 Other 1710787
David Mark Goldsmith Cio-mdt advisers division 1 Aug 2002 Other 4587032
Timothy Hugh Robinson Director 1 Dec 2002 Other 4647935
William Brian Parent Director 1 Aug 2004 Other 4349944
Andrew Maclean Laurence Director 1 Aug 2004 Other 1682742
Karen Anne Mcpartland Director/chief financial officer 1 Aug 2004 Other 2156513
John Carroll Duane Director of operations/chief compliance officer 1 Jan 2005 Other 4903769

Indirect Owners

The SEC currently registers 8 indirect owners.

Name Entity Date acquired Ownership Employer ID
Vam Acquisition Co. Shareholder 1 Nov 1997 75% - 100% 06-1493443
Inc. Value Asset Management Shareholder 1 Nov 1997 75% - 100% 06-1425796
Inc. Bankboston Ventures Shareholder 1 Nov 1997 25% - 50% 04-6013165
Fleet Boston Corporation Shareholder 1 Nov 1997 75% - 100% 05-0341324
Inc. Bancboston Ventures Shareholder 1 Nov 1997 25% - 50% 04-6013165
Fleet National Bank Shareholder 1 Apr 2002 75% - 100% o4-2472499
Fleetboston Financial Corporation Shareholder 1 Apr 2002 75% - 100% 05-0341324
Bank Of America Corporation Shareholder 1 Apr 2004 75% - 100% 56-0906609

Based in Cambridge

The principal office where Harris Bretall Sullivan & Smith LLC performs its advisory services is located at 125 Cambridgepark Drive, Cambridge, MA 02140 2329, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 617-234-2200 or by fax 617-234-2210. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.hbss.com.

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