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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STERLING GLOBAL STRATEGIES, LLC

CRD 172404

CARLSBAD, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5106286b-e3e8-5b0a-eebd-b1ef7541845f

Data as of Mar 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Nov 17, 2014 to Mar 4, 2019
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $214MItem 5.F on the latest filing (2019-03-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $213M
Private client RAUM: $70.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 491
Individual clients: 150
High net worth clients: 20
SEC number: 801-80635
CRD: 172404
Filings on the tape: 16
First filed: Nov 17, 2014
Latest filed: Mar 4, 2019
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARROLL, GREGORY, JAMES	Owner	D	yes	10/2010	Nov 17, 2014	Mar 4, 2019
CARROLL, GREGORY, JAMES	President	Na	yes	10/2010	Nov 17, 2014	Mar 4, 2019
EICKER, MARK, WILLIAM	CHIEF INVESTMENT OFFICER	C	yes	06/2014	Nov 17, 2014	Mar 4, 2019
HAIG, MICHAEL, SEAN	Owner	D	yes	10/2010	Nov 17, 2014	Mar 4, 2019
HAIG, MICHAEL, SEAN	CHIEF COMPLIANCE OFFICER & CHIEF EXECUTIVE OFFICER	Na	yes	10/2010	Nov 17, 2014	Mar 4, 2019
STERLING WEALTH MANAGEMENT GROUP, INC.	MANAGING MEMBER	D	yes	06/2014	Nov 17, 2014	Mar 4, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 4, 2019	$214M	$213M	5	4	0	n/a	n/a
2017	Mar 8, 2018	$223M	$200M	6	5	0	n/a	n/a
2016	Mar 2, 2017	$273M	$223M	6	6	n/a	n/a	n/a
2015	Mar 3, 2016	$393M	$294M	6	5	n/a	n/a	n/a
2014	Mar 3, 2015	$339M	$241M	7	4	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$214M	$223M	-4.1%	$393M	-18.3%	5	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AURORA PRIVATE WEALTH, INC.	2	Jul 2, 2019	Apr 4, 2019	CARLSBAD, CA	Team lift out	RIA to RIA	66.7%

Relationships

Controls (4)

← EICKER, MARK, WILLIAMOwnerCHIEF INVESTMENT OFFICER, ownership code C, individual
Nov 17, 2014 to presentfactForm ADV
← HAIG, MICHAEL, SEANOwnerOWNER, ownership code D, individual
Nov 17, 2014 to presentfactForm ADV
← CARROLL, GREGORY, JAMESOwnerOWNER, ownership code D, individual
Nov 17, 2014 to presentfactForm ADV
← STERLING WEALTH MANAGEMENT GROUP, INC.OwnerMANAGING MEMBER, ownership code D, domestic entity
Nov 17, 2014 to presentfactForm ADV

Registered with (4)

← MICHAEL SEAN HAIGAdvisorregistration: previous registration
Jan 2, 2015 to Jul 2, 2019factForm ADV
← GREGORY JAMES CARROLLAdvisorregistration: previous registration
Jan 2, 2015 to Jul 2, 2019factForm ADV
← JOHN PHILLIPS PALADINOAdvisorregistration: previous registration
Jan 2, 2015 to Jul 2, 2019factForm ADV
← ROBERT JOHN CENKOAdvisorregistration: previous registration
Jan 25, 2017 to Apr 27, 2017factForm ADV

Moved with (1)

→ AURORA PRIVATE WEALTH, INC.Registered adviser2 advisors, team lift out, same day
Jul 2, 2019 to Apr 4, 2019factForm ADV

Dated events

Occurred
Nov 17, 2014
Succession filed (Item 4)
Sterling Global Strategies, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Nov 17, 2014
First Form ADV filing
Sterling Global Strategies, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5106286b-e3e8-5b0a-eebd-b1ef7541845f
First observed: Nov 17, 2014
Last observed: Mar 4, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STERLING GLOBAL STRATEGIES, LLC

CRD 172404

CARLSBAD, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5106286b-e3e8-5b0a-eebd-b1ef7541845f

Data as of Mar 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARROLL, GREGORY, JAMES

Owner

yes

10/2010

Nov 17, 2014

Mar 4, 2019

CARROLL, GREGORY, JAMES

President

yes

10/2010

Nov 17, 2014

Mar 4, 2019

EICKER, MARK, WILLIAM

CHIEF INVESTMENT OFFICER

yes

06/2014

Nov 17, 2014

Mar 4, 2019

HAIG, MICHAEL, SEAN

Owner

yes

10/2010

Nov 17, 2014

Mar 4, 2019

HAIG, MICHAEL, SEAN

CHIEF COMPLIANCE OFFICER & CHIEF EXECUTIVE OFFICER

yes

10/2010

Nov 17, 2014

Mar 4, 2019

STERLING WEALTH MANAGEMENT GROUP, INC.

MANAGING MEMBER

yes

06/2014

Nov 17, 2014

Mar 4, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 4, 2019

$214M

$213M

n/a

2017

Mar 8, 2018

$223M

$200M

n/a

2016

Mar 2, 2017

$273M

$223M

n/a

2015

Mar 3, 2016

$393M

$294M

n/a

2014

Mar 3, 2015

$339M

$241M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$214M

$223M

-4.1%

$393M

-18.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AURORA PRIVATE WEALTH, INC.

Jul 2, 2019

Apr 4, 2019

CARLSBAD, CA

Team lift out

RIA to RIA

66.7%