Harris Bretall Sullivan & Smith LLC (Cambridge)

Name: Harris Bretall Sullivan & Smith LLC
Address: 125 Cambridgepark Drive, Cambridge, MA, 02140 2329
Telephone: 617-234-2200

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.