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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STERLING CAPITAL MANAGEMENT INC

CRD 106822

BROOKFIELD, WI

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:aa13cf3e-0979-5851-03a1-e938d14a010a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 24, 2026
19 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: independent wealth managerderivedprivate_client_share=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $297MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $227M
Private client RAUM: $227MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $148Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 388
Individual clients: 210
High net worth clients: 123
SEC number: 801-54107
CRD: 106822
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Mar 24, 2026
Organised: Corporation, WI

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
THOMAS JOHN PORTZ	Certified Financial Planner	BROOKFIELD, WI \| WAUKESHA, WI	28	42	1	yes
Elliott Gengembre	n/a	BROOKFIELD, WI	1	13	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
STERLINGWORTH CAPITAL PARTNERS, L.P.	Hedge Fund	$743,000	Jun 9, 2022	4	Mar 20, 2013	dropped	n/a

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
PORTZ, THOMAS, JOHN	CEO/CHIEF COMPLIANCE OFFICER	E	yes	10/2023	Mar 30, 2012	Mar 29, 2024
PORTZ, TIMOTHY, JOHN	President	Na	yes	10/2023	Mar 30, 2017	Mar 29, 2024

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
2025	Mar 24, 2026	$297M	$227M	3	3	0	n/a	n/a
2024	Mar 31, 2025	$255M	$190M	3	2	0	n/a	n/a
2023	Mar 29, 2024	$214M	$153M	3	2	0	n/a	n/a
2022	Mar 30, 2023	$176M	$122M	3	2	0	n/a	n/a
2021	Mar 30, 2022	$270M	$159M	3	2	0	1	$743,000
2020	Mar 30, 2021	$261M	$152M	3	2	0	1	$890,000
2019	Apr 2, 2020	$229M	$122M	3	2	0	1	$524,008
2018	Mar 29, 2019	$186M	$94.5M	3	2	0	1	$900,000
2017	Apr 2, 2018	$199M	$98.0M	3	2	0	1	$900,000
2016	Mar 30, 2017	$154M	$84.7M	3	2	n/a	1	$648,116
2015	Mar 3, 2016	$155M	$83.2M	3	2	n/a	1	$2.4M
2014	Mar 25, 2015	$167M	$90.8M	3	2	n/a	1	$2.4M
2013	Mar 18, 2014	$147M	$93.1M	3	2	n/a	1	$2.4M
2012	Mar 20, 2013	$139M	$86.4M	3	2	n/a	1	$2.4M
2011	Mar 30, 2012	$122M	$73.9M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$297M	$255M	16.4%	$176M	19.1%	3	3	0	0

Relationships

Registered with (2)

← Elliott GengembreAdvisorregistration: current employment
May 7, 2025 to presentfactForm ADV
← THOMAS JOHN PORTZAdvisorregistration: current employment
Nov 7, 1997 to presentfactForm ADV

Controls (2)

← PORTZ, THOMAS, JOHNOwnerCEO/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to Mar 29, 2024factForm ADV
← PORTZ, TIMOTHY, JOHNOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2017 to Mar 29, 2024factForm ADV

Advises (1)

→ STERLINGWORTH CAPITAL PARTNERS, L.P.Private fundHedge Fund, IA, no longer reported
Mar 20, 2013 to Jun 9, 2022factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa13cf3e-0979-5851-03a1-e938d14a010a
First observed: Mar 30, 2012
Last observed: Mar 24, 2026 6 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 CAPITAL MANAGEMENT INC

CRD 106822

BROOKFIELD, WI

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:aa13cf3e-0979-5851-03a1-e938d14a010a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

THOMAS JOHN PORTZ

Certified Financial Planner

BROOKFIELD, WI | WAUKESHA, WI

yes

Elliott Gengembre

n/a

BROOKFIELD, WI

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

STERLINGWORTH CAPITAL PARTNERS, L.P.

Hedge Fund

$743,000

Jun 9, 2022

Mar 20, 2013

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PORTZ, THOMAS, JOHN

CEO/CHIEF COMPLIANCE OFFICER

yes

10/2023

Mar 30, 2012

Mar 29, 2024

PORTZ, TIMOTHY, JOHN

President

yes

10/2023

Mar 30, 2017

Mar 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$297M

$227M

n/a

2024

Mar 31, 2025

$255M

$190M

n/a

2023

Mar 29, 2024

$214M

$153M

n/a

2022

Mar 30, 2023

$176M

$122M

n/a

2021

Mar 30, 2022

$270M

$159M

$743,000

2020

Mar 30, 2021

$261M

$152M

$890,000

2019

Apr 2, 2020

$229M

$122M

$524,008

2018

Mar 29, 2019

$186M

$94.5M

$900,000

2017

Apr 2, 2018

$199M

$98.0M

$900,000

2016

Mar 30, 2017

$154M

$84.7M

n/a

$648,116

2015

Mar 3, 2016

$155M

$83.2M

n/a

$2.4M

2014

Mar 25, 2015

$167M

$90.8M

n/a

$2.4M

2013

Mar 18, 2014

$147M

$93.1M

n/a

$2.4M

2012

Mar 20, 2013

$139M

$86.4M

n/a

$2.4M

2011

Mar 30, 2012

$122M

$73.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$297M

$255M

16.4%

$176M

19.1%