Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:44 AM ET

Sponsor Check › Person

No photo found yet (own website and image search run after this page is viewed)

Brian T. Sullivan

Named as an officer, director or promoter on SEC Form D filings · KS · Nov 16, 2016 → Nov 13, 2020

3deals (issuers)

$307.2Mreported sold

55investors

7Form D filings

2016–2020years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:37 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Brian T. Sullivan is listed as an executive officer and promoter on 7 SEC Form D filings by 3 issuers between Nov 2016 and Nov 2020: Waddell & Reed Small Co Growth Fund, LLC (Philadelphia, PA — pooled investment fund — 2016–2020; $267.7M reported sold to 48 investors), Waddell & Reed Asset Strategy Fund, LLC (Overland Park, KS — pooled investment fund — 2016; $30.3M reported sold to 2 investors) and WADDELL & REED LARGE CO GROWTH FUND LLC (Overland Park, KS — pooled investment fund — 2016; $9.29M reported sold to 5 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and promoter, over about 4 years. Across those companies the filings report $307.2M sold in total.

Listed alongside Philip J. Sanders (7 shared filings), Bradley P. Halverson (5 shared filings), John E. Sundeen (5 shared filings), Kenneth G. McQuade (5 shared filings), Timothy J. Miller (5 shared filings) and 14 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Brian. Each name links to their own page.

The issuers belong to 2 sponsor groups: Waddell (2 issuers, $39.5M reported sold, 2009–2016) and Central Park (51 issuers, $6.81B reported sold, 2009–2026).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 10 state regulator orders, 11 bankruptcy cases matching the name listed in Key records below.

What this means 21 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 7 public filings for Brian T. Sullivan and found 10 differences, 1 worth asking the sponsor about: Brian T. Sullivan is no longer listed on the Nov 15, 2021 amendment; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Brian T. Sullivan has not run yet — it is joining a line of 60,229 names; searches run around the clock at the hosts' allowed rate. Searched so far: 689 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:37 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

10 state regulator orders

Order Of Prohibition IL · Illinois Secretary of State, Securities Department

Order date Dec 16, 2013 · Regulator: Illinois Secretary of State, Securities Department · File No. 1300062 · Parties (regulator's caption): U.S. Biofuels Inc., Vista Biofuels, Brian Sullivan, James C. Munsen, Gilbert Rousseau, James Collins, John Gray

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in IL (not a filing state)

Temporary Order Of Prohibition IL · Illinois Secretary of State, Securities Department

Order date Apr 5, 2013 · Regulator: Illinois Secretary of State, Securities Department · File No. 1300062 · Parties (regulator's caption): U.S. Biofuels Inc., Vista Biofuels, Brian Sullivan, James C. Munsen, Gilbert Rousseau, James Collins, John Gray

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in IL (not a filing state)

Complaint CO · Colorado Department of Regulatory Agencies, Division of Securities

Order date Jul 16, 2012 · Regulator: Colorado Department of Regulatory Agencies, Division of Securities · Parties (regulator's caption): Brian T. Sullivan, Daniel F. Sheriff, and Fairfield Energy, Inc., D.B. Wheeler, LLC, and Amazon Exploration, LLC

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in CO (not a filing state)

Order (type not printed in the list entry; see the order) AL · Alabama Securities Commission

Order date Oct 7, 2011 · Regulator: Alabama Securities Commission · OV-2010-0016 · Parties (regulator's caption): Brian B. Sullivan; Gary S. Stringer; Michele F. Wood

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in AL (not a filing state); middle initial differs

Administrative Consent Order as to Respondents Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., and James C. Kelsoe, Jr. SC · South Carolina Office of the Attorney General, Securities Division

Order date Jun 22, 2011 · Regulator: South Carolina Office of the Attorney General, Securities Division · Parties (regulator's caption): Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., Brian B. Sullivan, Gary S. Stringer and Michele F. Wood

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in SC (not a filing state); middle initial differs

Final Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)

Order date May 11, 2011 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-07-351-11-FO01 · Parties (regulator's caption): Fairfield Energy Inc. TM4500 Rig Acquisition Joint Venture, LLC; Fairfield Energy Inc.; Brian Sullivan · Order entered with/against: Fairfield Energy Inc

As listed by the regulator: On May 11, 2011, the Securities Division entered a Final Order against Fairfield Energy Inc. … The Final Order ordered Respondents to cease and desist from any further violations of RCW 21.20.010, RCW 21.20.040 and RCW 21.20.140. The Final Order also ordered each Respondent to pay a fine of $5,000, and for the Respondents to pay investigative costs of $1,500. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in WA (not a filing state); named in the regulator's case caption but not in the entry sentence stating who the order was entered with/against

Order (type not printed in the list entry; see the order) AL · Alabama Securities Commission

Order date Apr 7, 2010 · Regulator: Alabama Securities Commission · SC-2010-0016 · Parties (regulator's caption): Morgan Asset Management, Inc.; MK Holding, Inc.; Morgan Keegan & Company, Inc.; Regions Financial Corporation; James C. Kelsoe, Jr.; Brian B. Sullivan; Gary S. Stringer; Michele F. Wood

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in AL (not a filing state); middle initial differs

Statement of Charges WA · Washington State Department of Financial Institutions, Securities Division (DFI)

Order date Mar 30, 2009 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-07-351-09-SC01 · Parties (regulator's caption): Fairfield Energy Inc. TM4500 Rig Acquisition Joint Venture, LLC; Fairfield Energy Inc.; Brian Sullivan · Order entered with/against: Fairfield Energy Inc

As listed by the regulator: On March 30, 2009, the Securities Division entered a Statement of Charges and Notice of Intent to Issue an Order to Cease and Desist, Impose Fines, and Charge Costs against Fairfield Energy Inc. … The Securities Division intends to order Respondents to cease and desist from violating the securities registration, broker-dealer and/or securities salesperson registration and anti-fraud provisions of the Securities Act of Washington. The Securities Division gave notice of its intent to collect fines and charge costs. Order / docket ↗ Regulator's list ↗

Order (type not printed in the list entry; see the order) SC · South Carolina Office of the Attorney General, Securities Division

Order date not stated in the index entry we read · Regulator: South Carolina Office of the Attorney General, Securities Division · Parties (regulator's caption): Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; Brian B. Sullivan; Gary S. Stringer; Michele F. Wood

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in SC (not a filing state); middle initial differs

Stipulation and Final Judgement CO · Colorado Department of Regulatory Agencies, Division of Securities

Order date not stated in the index entry we read · Regulator: Colorado Department of Regulatory Agencies, Division of Securities · Parties (regulator's caption): Brian T. Sullivan, Daniel F. Sheriff, and Fairfield Energy, Inc., D.B. Wheeler, LLC, and Amazon Exploration, LLC

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 16 people with this name in Form D filings; regulator in CO (not a filing state)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Brian T. Sullivan..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

11 cases: 10 closed (disposition not in docket feed), 1 open

Brian M. Sullivan and Edith M. Sullivan closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 05-50284 · Filed Dec 2, 2005 · Closed Mar 29, 2006

Role of Brian M. Sullivan and Edith M. Sullivan: Debtor · Outcome: Case closed 2006-03-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian M. Sullivan and Edith M. Sullivan closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 04-34310 · Filed Oct 29, 2004 · Closed Feb 2, 2005

Role of Brian M. Sullivan and Edith M. Sullivan: Debtor · Outcome: Case closed 2005-02-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian M. O'Sullivan and Denise Patricia O'Sullivan closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 01-12383 · Filed Feb 21, 2001 · Closed Jun 22, 2001

Role of Brian M. O'Sullivan and Denise Patricia O'Sullivan: Debtor · Outcome: Case closed 2001-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian M. Sullivan and Edith M. Sullivan closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 00-20728 · Filed Feb 4, 2000 · Closed Mar 10, 2004

Role of Brian M. Sullivan and Edith M. Sullivan: Debtor · Outcome: Case closed 2004-03-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian K. G'Sullivan and Elisa J. G'Sullivan closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 98-15302 · Filed Apr 27, 1998 · Closed Sep 2, 1998

Role of Brian K. G'Sullivan and Elisa J. G'Sullivan: Debtor · Outcome: Case closed 1998-09-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian T Sullivan closed

United States Bankruptcy Court, M.D. Pennsylvania · No. 1:98-bk-00066 · Filed Jan 8, 1998 · Closed Oct 15, 1998

Role of Brian T Sullivan: Debtor · Outcome: Case closed 1998-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA)

Brian T. Sullivan closed

United States Bankruptcy Court, M.D. Pennsylvania · No. 1:97-bk-00001 · Filed Jan 2, 1997 · Closed Dec 19, 1997

Role of Brian T. Sullivan: Debtor · Outcome: Case closed 1997-12-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA)

Brian W. Sullivan closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 94-20766 · Filed May 5, 1994 · Closed Jun 23, 1999

Role of Brian W. Sullivan: Debtor · Outcome: Case closed 1999-06-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian T. Sullivan and Beth A. Sullivan closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 92-24434 · Filed Nov 25, 1992 · Closed Mar 6, 1995

Role of Brian T. Sullivan and Beth A. Sullivan: Debtor · Outcome: Case closed 1995-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA)

Brian W. O'Sullivan and Melinda J. O'Sullivan closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 90-10364 · Filed May 18, 1990 · Closed Sep 11, 1990

Role of Brian W. O'Sullivan and Melinda J. O'Sullivan: Debtor · Outcome: Case closed 1990-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

Brian J. Sullivan open

United States Bankruptcy Court, W.D. Pennsylvania · No. 25-20582 · Filed —

Role of Brian J. Sullivan: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 283 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:37 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

10 differences found between the filings for Brian T. Sullivan — 1 worth asking about (compared 7 filings on Oct 24, 2026)

Note · Aug 31, 2009 – Nov 16, 2016

No amendment in the last 12 months on an offering that may still be open — Waddell & Reed Asset Strategy Fund, LLC (latest filing Nov 16, 2016)

The latest filing for this offering is dated Nov 16, 2016 (first sale Aug 31, 2009). It reports $30,250,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Nov 16, 2016 ↗Waddell & Reed Asset Strategy Fund, LLC — PartnerFacts page ↗

Sources

Form D/A · Nov 16, 2016 ↗ (Nov 16, 2016)
Waddell & Reed Asset Strategy Fund, LLC — PartnerFacts page ↗ (Nov 16, 2016)

Note · Jul 26, 2006 – Nov 16, 2016

No amendment in the last 12 months on an offering that may still be open — WADDELL & REED LARGE CO GROWTH FUND LLC (latest filing Nov 16, 2016)

The latest filing for this offering is dated Nov 16, 2016 (first sale Jul 26, 2006). It reports $9,290,759 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

Form D/A · Nov 16, 2016 ↗WADDELL & REED LARGE CO GROWTH FUND LLC — PartnerFacts page ↗

Sources

Form D/A · Nov 16, 2016 ↗ (Nov 16, 2016)
WADDELL & REED LARGE CO GROWTH FUND LLC — PartnerFacts page ↗ (Nov 16, 2016)

Worth asking · Nov 13, 2020 – Nov 15, 2021

Brian T. Sullivan is no longer listed on the Nov 15, 2021 amendment — Waddell & Reed Small Co Growth Fund, LLC

Brian T. Sullivan appears on the Nov 13, 2020 Form D/A (executive officer, promoter) but not on the Nov 15, 2021 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Nov 13, 2020 ↗Form D/A · Nov 15, 2021 ↗Brian T. Sullivan — PartnerFacts page ↗Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗

Sources

Form D/A · Nov 13, 2020 ↗ (Nov 13, 2020)
Form D/A · Nov 15, 2021 ↗ (Nov 15, 2021)
Brian T. Sullivan — PartnerFacts page ↗
Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗ (Nov 15, 2023)

Note · Nov 15, 2018 – Nov 15, 2019

Brian T. Sullivan's role changed at Waddell & Reed Small Co Growth Fund, LLC: executive officer → executive officer, promoter

The Nov 15, 2018 filing lists Brian T. Sullivan as executive officer; the Nov 15, 2019 Form D/A lists executive officer, promoter.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · Nov 15, 2018 ↗Form D/A · Nov 15, 2019 ↗Brian T. Sullivan — PartnerFacts page ↗Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗

Sources

Form D/A · Nov 15, 2018 ↗ (Nov 15, 2018)
Form D/A · Nov 15, 2019 ↗ (Nov 15, 2019)
Brian T. Sullivan — PartnerFacts page ↗
Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗ (Nov 15, 2023)

Note · Jun 23, 2014 – Jan 12, 2026

Same name, different state: "Brian Sullivan" (TX) is a separate record

This page covers filings where the address state is KS. A separate record, "Brian Sullivan" with address state TX, is listed on 40 filings — most recently by PGCs Azle Ave Storage LLC (Jan 12, 2026). Both records have filings in the same period (Nov 16, 2016 to Nov 13, 2020).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Brian Sullivan (TX) — PartnerFacts page ↗Form D · Jan 12, 2026 ↗PGCs Azle Ave Storage LLC — PartnerFacts page ↗Brian T. Sullivan (KS) — this page ↗

Sources

Brian Sullivan (TX) — PartnerFacts page ↗ (Jan 12, 2026)
Form D · Jan 12, 2026 ↗ (Jan 12, 2026)
PGCs Azle Ave Storage LLC — PartnerFacts page ↗ (Jan 12, 2026)
Brian T. Sullivan (KS) — this page ↗ (Nov 13, 2020)

Note · Aug 30, 2013 – Jan 30, 2025

Same name, different state: "BRIAN SULLIVAN" (FL) is a separate record

This page covers filings where the address state is KS. A separate record, "BRIAN SULLIVAN" with address state FL, is listed on 2 filings — most recently by Kelly Roofing Holdings, LLC (Jan 30, 2025). Both records have filings in the same period (Nov 16, 2016 to Nov 13, 2020).

BRIAN SULLIVAN (FL) — PartnerFacts page ↗Form D · Jan 30, 2025 ↗Kelly Roofing Holdings, LLC — PartnerFacts page ↗Brian T. Sullivan (KS) — this page ↗

Sources

BRIAN SULLIVAN (FL) — PartnerFacts page ↗ (Jan 30, 2025)
Form D · Jan 30, 2025 ↗ (Jan 30, 2025)
Kelly Roofing Holdings, LLC — PartnerFacts page ↗ (Jan 30, 2025)
Brian T. Sullivan (KS) — this page ↗ (Nov 13, 2020)

Note · Aug 29, 2018

Same name, different state: "Brian Sullivan" (SC) is a separate record

This page covers filings where the address state is KS. A separate record, "Brian Sullivan" with address state SC, is listed on 1 filing — most recently by Vizbii Technologies, Inc. (Aug 29, 2018). Both records have filings in the same period (Aug 29, 2018).

Brian Sullivan (SC) — PartnerFacts page ↗Form D · Aug 29, 2018 ↗Vizbii Technologies, Inc. — PartnerFacts page ↗Brian T. Sullivan (KS) — this page ↗

Sources

Brian Sullivan (SC) — PartnerFacts page ↗ (Aug 29, 2018)
Form D · Aug 29, 2018 ↗ (Aug 29, 2018)
Vizbii Technologies, Inc. — PartnerFacts page ↗ (Aug 29, 2018)
Brian T. Sullivan (KS) — this page ↗ (Nov 13, 2020)

Note · Oct 6, 2015

Same name, different state: "Brian Sullivan" (IL) is a separate record

This page covers filings where the address state is KS. A separate record, "Brian Sullivan" with address state IL, is listed on 1 filing — most recently by TVG-ForwardLine Holdings, LLC (Oct 6, 2015). The two records do not overlap in time: this page runs Nov 16, 2016 to Nov 13, 2020; the other has one filing dated Oct 6, 2015.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Brian Sullivan (IL) — PartnerFacts page ↗Form D · Oct 6, 2015 ↗TVG-ForwardLine Holdings, LLC — PartnerFacts page ↗Brian T. Sullivan (KS) — this page ↗

Sources

Brian Sullivan (IL) — PartnerFacts page ↗ (Oct 6, 2015)
Form D · Oct 6, 2015 ↗ (Oct 6, 2015)
TVG-ForwardLine Holdings, LLC — PartnerFacts page ↗ (Oct 6, 2015)
Brian T. Sullivan (KS) — this page ↗ (Nov 13, 2020)

Note · Jan 29, 2013

Same name, different state: "Brian Sullivan" (CO) is a separate record

This page covers filings where the address state is KS. A separate record, "Brian Sullivan" with address state CO, is listed on 1 filing — most recently by Amazon 13-30 LP (Jan 29, 2013). The two records do not overlap in time: this page runs Nov 16, 2016 to Nov 13, 2020; the other has one filing dated Jan 29, 2013.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Brian Sullivan (CO) — PartnerFacts page ↗Form D · Jan 29, 2013 ↗Amazon 13-30 LP — PartnerFacts page ↗Brian T. Sullivan (KS) — this page ↗

Sources

Brian Sullivan (CO) — PartnerFacts page ↗ (Jan 29, 2013)
Form D · Jan 29, 2013 ↗ (Jan 29, 2013)
Amazon 13-30 LP — PartnerFacts page ↗ (Jan 29, 2013)
Brian T. Sullivan (KS) — this page ↗ (Nov 13, 2020)

Note · Nov 15, 2021 – Nov 15, 2022

Address moved from Overland Park, KS to Philadelphia, PA — Waddell & Reed Small Co Growth Fund, LLC

The people listed on the Nov 15, 2021 filing give Overland Park, KS; on the Nov 15, 2022 filing they give Philadelphia, PA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Nov 15, 2021 ↗Form D/A · Nov 15, 2022 ↗Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗

Sources

Form D/A · Nov 15, 2021 ↗ (Nov 15, 2021)
Form D/A · Nov 15, 2022 ↗ (Nov 15, 2022)
Waddell & Reed Small Co Growth Fund, LLC — PartnerFacts page ↗ (Nov 15, 2023)

What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

3 of 3 offerings report sales commissions totalling $695,504; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Nov 13, 2020 D/A Waddell & Reed Small Co Growth Fund, LLC File 021-134203	$603,778 (est.)	$0	$0	Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via D. Lynne Goodwin (CRD 2104110 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Nikki Farentino Newton (CRD 2999738 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Thomas Clayton Johnston (CRD 1562035 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Brian Thomas Sullivan (CRD 2766571 ↗)	EDGAR ↗
Nov 16, 2016 D/A WADDELL & REED LARGE CO GROWTH FUND LLC File 021-91614	$19,510 (est.)	$0	$0	Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via D. Lynne Goodwin (CRD 2104110 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Nikki Farentino Newton (CRD 2999738 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Thomas Clayton Johnston (CRD 1562035 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Brian Thomas Sullivan (CRD 2766571 ↗)	EDGAR ↗
Nov 16, 2016 D/A Waddell & Reed Asset Strategy Fund, LLC File 021-133992	$72,216 (est.)	$0	$0 (est.)	Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via D. Lynne Goodwin (CRD 2104110 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Nikki Farentino Newton (CRD 2999738 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Thomas Clayton Johnston (CRD 1562035 ↗) Waddell & Reed, Inc. BrokerCheck CRD 866 ↗ via Brian Thomas Sullivan (CRD 2766571 ↗)	EDGAR ↗

How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 3

Every issuer that named Brian T. Sullivan on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Pooled Investment Fund · group: Central Park

Waddell & Reed Small Co Growth Fund, LLC

Philadelphia, PA · Nov 16, 2016 → Nov 13, 2020 · 5 filings

Nov 13, 2020 · D/A · $267,702,563 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer, Promoter (Officer of Ivy Distributors, Inc., the Promoter of the Issuer) EDGAR ↗
Nov 15, 2019 · D/A · $267,702,563 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer, Promoter (Officer of Ivy Distributors, Inc., the Promoter of the Issuer) EDGAR ↗
Nov 15, 2018 · D/A · $267,702,563 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer (Officer of Waddell & Reed Investment Management Company, the Manager and Promoter of the Issuer) EDGAR ↗
Nov 15, 2017 · D/A · $267,702,563 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer (Officer of Waddell & Reed Investment Management Company, the Manager and Promoter of the Issuer) EDGAR ↗
Nov 16, 2016 · D/A · $267,702,563 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer (Officer of Waddell & Reed Investment Management Company, the Manager and Promoter of the Issuer) EDGAR ↗

Raised $267.7M from 48 investors as of the latest filing. Brian is listed as executive officer, promoter on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Pooled Investment Fund · group: Waddell

Waddell & Reed Asset Strategy Fund, LLC

Overland Park, KS · Nov 16, 2016

Nov 16, 2016 · D/A · $30,250,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Officer of Waddell & Reed Investment Management Company, the Manager and Promoter of the Issuer.) EDGAR ↗

Raised $30.3M from 2 investors as of the latest filing. Brian is listed as executive officer.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Waddell

WADDELL & REED LARGE CO GROWTH FUND LLC

Overland Park, KS · Nov 16, 2016

Nov 16, 2016 · D/A · $9,290,759 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Officer of Waddell & Reed Investment Management Company, the Manager and Promoter of the Issuer) EDGAR ↗

Raised $9.29M from 5 investors as of the latest filing. Brian is listed as executive officer.

Latest filing on EDGAR ↗

Sources

Other pages with the same name (15)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

Brian Sullivan — TX, 31 issuers, Jun 23, 2014 → Jan 12, 2026 · no shared issuer
Brian Sullivan — CA, 15 issuers, Jul 10, 2009 → Jan 4, 2022 · no shared issuer
Brian K Sullivan — GA, 7 issuers, Dec 31, 2015 → Jan 23, 2020 · no shared issuer
BRIAN W. SULLIVAN — CA, 6 issuers, Dec 8, 2010 → May 31, 2013 · no shared issuer
Brian James Sullivan — GA, 5 issuers, Nov 8, 2017 → Jan 3, 2019 · no shared issuer
Brian Sullivan — GA, 3 issuers, Dec 9, 2020 → Apr 21, 2025 · no shared issuer
BRIAN SULLIVAN — FL, 2 issuers, Aug 30, 2013 → Jan 30, 2025 · no shared issuer
Brian Sullivan — PA, 2 issuers, Feb 9, 2021 → Feb 9, 2022 · no shared issuer
Brian Sullivan — CO, 1 issuer, Jan 29, 2013 → Jan 29, 2013 · no shared issuer
Brian F. Sullivan — MN, 1 issuer, Mar 24, 2014 → Sep 23, 2025 · no shared issuer
Brian Sullivan — IL, 1 issuer, Oct 6, 2015 → Oct 6, 2015 · no shared issuer
Brian Sullivan — SC, 1 issuer, Aug 29, 2018 → Aug 29, 2018 · no shared issuer
Brian J. Sullivan — IN, 1 issuer, Nov 16, 2020 → Nov 16, 2020 · no shared issuer
Brian Sullivan — NY, 1 issuer, Apr 21, 2026 → Apr 21, 2026 · no shared issuer
Brian K Sullivan — Georgia (as filed: 2Q), 1 issuer, Jan 17, 2020 → Jan 17, 2020 · no shared issuer

People around Brian 19

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

Management entity