# Patricia A. Sullivan > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/32057 ## Record - **Judge:** Patricia A. Sullivan - **Year:** 2019 - **Pages:** 12 ## Text MFS Investment Management (Educational Funds) (H) MFS Growth Allocation Fund B (MBGWX) — Dividend US Treasury EE Bonds — Interest Northwest Mutual Life Policy "Adjustable CompLife" — Dividend Minnesota Variable Group Universal Life Insurance Policy (H) Janus Henderson Vit Forty — Int./Div. SFT Wellington CEQ1 — Int./Div. Ivy VIP Value — Int./Div. FID VIP Equity Income — Int./Div. Janus Hend Vit Overseas — Int./Div. Membership in — Distribution Santander Account #1 Cash-equivalent — Interest Santander Account #2 Cash-equivalent — Interest Santander Money Market Account Cash- equivalent — Interest Schwab Account #1(IRA) (H) Schwab Value Advantage Fund (SWVXX) — Interest PIMCO Foreign Bond (PFORX) — Dividend Teton Convertible Sec (WESIX) — Dividend — Sold (part) Teton Convertible Sec (WESIX) — Sold (part) Western Asset Macro Opportunities (LAOIX) — Dividend Schwab Bank — Interest Fidelity Floating Rate HI INCM (FFRHX) — Dividend First Eagle High Yield FD I (FEHIX) — Dividend Pimco 0-5 High Yield Corp B (HYS) — Dividend — Sold Fidelity New Mkts Inc (FGZMX) — Dividend Templeton Global Bond Fund (TGBAX) — Dividend First Eagle US Value Fund CL (FEVIX) — Dividend — Sold Goldman Sachs Small Mid Cap (GSMYX) — Dividend Powershares S&P ETF 500 Low VO (SPLV) — Dividend Western Core Plus Bond (WACPX) — Dividend Schwab Fundamental US Large Cap (FNDX) — Dividend JP Morgan Hedged Equity (JHEQX) — Dividend Wells Fargo Low Volatility (WLVOX) — Dividend DFA US Large Cap Value (DFLVX) — Dividend — Sold Fidelity Total Emerging MKTS (FTEJX) — Dividend — Sold (part) Cash — Distributed (part) Fidelity Total Emerging MKTS (FTEJX) — Sold (part) WisdomTree US Div Growth (DGRW) — Dividend — Buy Schwab S&P 500 Selct Shs (SWPPX) — Dividend First Eagle Overseas (SGOIX) — Dividend Powershares ETF S&P INTL (IDLV) — Dividend — Sold (part) SCHW Intl SCAP ETF (SCHC) — Dividend Schwab Fund Intl Sm Cap (FNDC) — Dividend — Buy Schwab Fund Intl Sm Cap (FNDC) — Sold SPDR Strategic Factors (QUS) — Dividend — Buy SPDR Strategic Factors (QUS) — Sold (part) SPDR Strategic Factors (QUS) — Sold (part) Loomis Sayles Senior Flting Rate & Fixed (LSFYX) — Dividend — Sold (part) Goldman Sachs GQG Partners (GSIMX) — Dividend Brandes Intl Small Cap (BISMX) — Dividend — Sold 361 US Small Cap (ASFZX) — Dividend Hartford Global Bond (HWDYX) — Dividend Schwab Account #2 (H) Schwab Bank (X) — Int./Div. Brandes Intl Small Cap (BISMX) — Dividend — Sold Lord Abbett HY Muni (HYMIX) — Dividend — Buy Schwab Tax-Ex Money VAl (SWTXX) — Int./Div. — Sold (part) First Eagle US Value (FEVIX) — Dividend — Sold Fidelity New Mkts Inc (FGZMX) — Dividend IShares MSCI (EEMV) — Dividend First Eagle Overseas (SGOIX) — Dividend Schwab S&P 500 Select (SWPPX) — Dividend Templeton Global Bond Fund (TGBAX) — Dividend MKT Vectors ETF (HYD) — Dividend — Sold Goldman Sachs Small Mid Cap (GSMYX) — Dividend WisdomTree US Div Growth (DGRW) — Dividend — Buy PIMCO Foreign Bond (PFORX) — Dividend Western Asset Macro Opportunities (LAOIX) — Dividend Eaton Vance Muni Oppty (EMOIX) — Dividend Fidelity Total Emerging Mkts (FTEJX) — Dividend Schwab Fund Intl Sm Cap (FNDC) — Dividend — Buy SPDR MSCI Strat FAct (QUS) — Dividend — Buy DFA US Large Cap Value (DFLVX) — Dividend — Sold JP Morgan Hedged Equity (JHEQX) — Dividend Fidelity FLoating Rate Hi Income (FFRHX) — Dividend Goldman Sachs GQG Partners (GSIMX) — Dividend Estate (H) Wells Fargo Advisors #1 (H) Cash — Interest — Distributed (part) AT&T Inc — Dividend — Distributed BCE Inc — Dividend — Distributed Brookfield Infrasture Partners LP — Dividend — Distributed Century Link Inc — Dividend — Sold Energy Transfer LP — Dividend — Sold Williams Companies Inc — Dividend — Sold American Financial PFD — Interest — Distributed Capital One Fin Corp PFD — Dividend — Distributed Goldman Sachs Var PFD — Dividend — Distributed JP Morgan Chase & Co PFD — Dividend — Redeemed Morgan Stanley 6.25% PFD — Dividend — Distributed Pitney Bowes Inc 6.7% PFD — Interest — Sold Qwest Corp PFD — Interest — Distributed Telephone & Data 7% Perptl Sys Inc PFD — Interest — Distributed US Cellular Corp PFD — Interest — Distributed People's United Bank — Interest — Distributed Bank of America — Interest — Closed Merrill Edge IRA A/C Cash-equivalent — Int./Div. — Closed Wells Fargo Advisors #2 (H) (X) Cash — Interest — Distributed (part) American Financial PDF — Interest — Redeemed AT&T Inc. — Dividend — Distributed BCE Inc. — Dividend — Distributed Brookfield Infrasture Partners LP — Dividend — Distributed Capital One Fin Corp PFD — Dividend — Redeemed Morgan Stanley 6.25% PFD — Dividend — Distributed Qwest Corp PFD — Interest — Distributed Telephone & Data 7% Perptl Sys Inc PFD — Interest — Distributed US Cellular Corp PFD — Interest — Distributed Goldman Sachs Var PFD — Dividend — Distributed Schwab Account #3 (H) (X) Cash — Interest AT&T Inc — Dividend BCE Inc — Dividend Brookfield Infrasture Partners LP — Dividend Morgan Stanley 6.25% PFD — Dividend Qwest Corp PFD — Dividend Telephone & Data 7% Perptl Sys Inc PFD — Dividend US Cellular Corp PFD — Interest Goldman Sachs Var PFD — Dividend Member and Officer (Treasurer), Board of Directors of Roger Williams University School of Law Manager and Member Director, Rhode Island Bar Foundation Director, Rhode Island Chapter of Federal Bar Association Adjunct Professor, Roger Williams University School of Law (inactive) Co-Executor, Estate of Spouse's income — 2019 — Citizens Bank (pension) Spouse's income — 2019 — Bank of America (pension) Spouse's income — 2019 — Barrington High School (earned income) Part I: Line 1: I became Treasurer of the Board of Directors of Roger Williams Law School on May 1, 2020. Line 3: Please see the letter from the Committee on Codes of Conduct that I have filed previously filed in connection with prior annual Financial Disclosure Reports. Part VII: Lines 5-10: This life insurance policy provides me with quarterly reports that show the cash value for the policy, the investment gain/loss for the policy and the "unit value" and "units held" in each "account" listed on Lines 6-10. Each of the five accounts is 20% of the total. The statements provide no information about the income earned in each account. I have reported the income for the policy based on the total "investment gain/loss" as it appears in the year-end statement. The income for the underlying accounts is an estimate based on 20% of the total. Line 11: The asset listed on Line 11 is membership in an entity that has never made a distribution to its members. I use an estimate of the value of this use as"income." Lines 15, 49 and 104: Because a third Schwab account was added this year, I have numbered all three of them to distinguish them from each other Line 15: This IRA is actually two accounts, one in my name and one in name, managed together by the same person at Schwab. Lines 16 and 53: This is a name change from Schwab Govt Money Fund (SWGXX ) to Schwab Value Advantage Fund (SWVXX) (line 16) and to Schwab Bank (line 53). Lines 77 and 97: Because a second Wells Fargo account was added this year, I have numbered them to distinguish them from each other. Lines 85, 90-93: In the course of preparing the 2019 report, I discovered that the income associated with these assets was interest, as correctly reported here, not dividends, as I mistakenly reported last year. Line 97: When estate was prepared for distribution in November 2019, the assets were reallocated into five separate Well Fargo accounts owned by each of . The assets that came to me were briefly held in the Wells Fargo Advisors #2 listed on line 97. From there they were immediately distributed into the Scwhab Account #3 listed on line 110. This Wells Fargo account was closed in early 2020. Note: During preparing the 2019 report I discovered that the manager of the Schwab accounts mistakenly failed to advise me that three assets were sold in 2018, listed on the 2018 report on lines 36, 41 and 42. These are: Royce Special Equity FD Invest (RYSEX) (sold 09/20/18, value code K, no gain), Schwab DJ Wilshare Intl Real Est (RWX (sold 11/30/18, value code L, no gain) and SPDR DJ Wilshare REIT (RWR) (sold 3/12/18, value code J, gain code B). Note: and I have a "time share" in St. John, U.S.V.I., which affords the ability to stay for one week during the late fall, subject to availability. It was purchased for $36,000 in 2006. It generates no income but requires payment of expenses. As far as I know, it has de minimis, possibly negative, resale value because it can be used only subject to availabilty, which is limited. It does not appear to be required to be reported as it does not fall into any category on the form. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/32057. Public record. Not legal advice.