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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STERLING INVESTMENT MANAGEMENT, LLC

CRD 112923

TUCSON, AZ

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:adb18af6-2b60-08b7-4fb9-a950cc56acee

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 18, 2026
23 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=0.87 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $409MItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $409M
Private client RAUM: $354MderivedItem 5.D individuals plus high net worth individuals
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $102Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 399
Individual clients: 65
High net worth clients: 74
SEC number: 801-50373
CIK: 1509873
CRD: 112923
Filings on the tape: 23
First filed: Mar 30, 2012
Latest filed: Mar 18, 2026
Organised: Limited Liability Company, AZ

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
JOHN HARMAN PAYNE	Chartered Financial Analyst	TUCSON, AZ	14	30	1	no
ARUMAYTA Martinez Arguello	Chartered Financial Analyst	TUCSON, AZ	11	11	n/a	no
ROSS ALEXANDER PATTERSON	Certified Financial Planner\|Chartered Financial Consultant	TUCSON, AZ	5	10	1	no
Nathan J Stutz	n/a	TUCSON, AZ	0	10	n/a	no

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
PAYNE, JOHN, HARMAN	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	E	yes	09/1995	Mar 30, 2012	Mar 26, 2024
Arguello, ARUMAYTA, Martinez	PORTFOLIO MANAGER	A	no	01/2022	Jan 31, 2022	Mar 26, 2024
KELLY, CRYSTAL, PORTILLO	CHIEF COMPLIANCE OFFICER	A	no	05/2015	Mar 21, 2016	Mar 26, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	1	no

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 18, 2026	$409M	$409M	8	4	1	n/a	n/a
2024	Mar 27, 2025	$361M	$361M	8	4	1	n/a	n/a
2023	Mar 26, 2024	$371M	$371M	8	4	1	n/a	n/a
2022	Mar 22, 2023	$342M	$342M	8	4	1	n/a	n/a
2021	Mar 31, 2022	$338M	$338M	7	4	1	n/a	n/a
2020	Mar 18, 2021	$354M	$354M	7	3	1	n/a	n/a
2019	Mar 31, 2020	$316M	$316M	4	2	1	n/a	n/a
2018	Mar 29, 2019	$288M	$288M	7	5	1	n/a	n/a
2017	Mar 23, 2018	$270M	$270M	7	5	1	n/a	n/a
2016	Mar 27, 2017	$260M	$259M	8	5	n/a	n/a	n/a
2015	Mar 21, 2016	$279M	$278M	6	4	n/a	n/a	n/a
2014	Mar 25, 2015	$282M	$281M	7	5	n/a	n/a	n/a
2013	Mar 24, 2014	$271M	$270M	6	5	n/a	n/a	n/a
2012	Mar 28, 2013	$267M	$266M	7	5	n/a	n/a	n/a
2011	Mar 30, 2012	$215M	$215M	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	$409M	$361M	13.5%	$342M	6.2%	8	8	1	1

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
ATTESSA CAPITAL LLC	3	Jan 8, 2020	Jan 13, 2020	TUCSON, AZ	Firm absorbed	RIA to RIA	60.0%

Relationships

Registered with (7)

← Nathan J StutzAdvisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← ROSS ALEXANDER PATTERSONAdvisorregistration: current employment
Aug 9, 2021 to presentfactForm ADV
← ARUMAYTA Martinez ArguelloAdvisorregistration: current employment
Dec 9, 2014 to presentfactForm ADV
← JOHN HARMAN PAYNEAdvisorregistration: previous registration
Nov 7, 1995 to Dec 31, 2009factForm ADV
← DAVID WILLIAM KORNBERGAdvisorregistration: previous registration
Sep 6, 2016 to Jan 8, 2020factForm ADV
← ALEC SCOTT BERENSAdvisorregistration: previous registration
May 11, 2016 to Jan 8, 2020factForm ADV
← JAMES ANDREW GOODAdvisorregistration: previous registration
May 27, 2016 to Jan 8, 2020factForm ADV

Controls (1)

← PAYNE, JOHN, HARMANOwnerMANAGING PARTNER, CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 30, 2012 to Mar 26, 2024factForm ADV

Owns (2)

← Arguello, ARUMAYTA, MartinezOwnerPORTFOLIO MANAGER, ownership code A, individual
Jan 31, 2022 to Mar 26, 2024factForm ADV
← KELLY, CRYSTAL, PORTILLOOwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 21, 2016 to Mar 26, 2024factForm ADV

Moved with (1)

→ ATTESSA CAPITAL LLCRegistered adviser3 advisors, firm absorbed, same day
Jan 8, 2020 to Jan 13, 2020factForm ADV

Dated events

Occurred
Jan 31, 2022
Succession filed (Item 4)
Sterling Investment Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adb18af6-2b60-08b7-4fb9-a950cc56acee
First observed: Mar 30, 2012
Last observed: Mar 18, 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 INVESTMENT MANAGEMENT, LLC

CRD 112923

TUCSON, AZ

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:adb18af6-2b60-08b7-4fb9-a950cc56acee

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN HARMAN PAYNE

Chartered Financial Analyst

TUCSON, AZ

ARUMAYTA Martinez Arguello

Chartered Financial Analyst

TUCSON, AZ

n/a

ROSS ALEXANDER PATTERSON

Certified Financial Planner|Chartered Financial Consultant

TUCSON, AZ

Nathan J Stutz

n/a

TUCSON, AZ

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PAYNE, JOHN, HARMAN

MANAGING PARTNER, CHIEF INVESTMENT OFFICER

yes

09/1995

Mar 30, 2012

Mar 26, 2024

Arguello, ARUMAYTA, Martinez

PORTFOLIO MANAGER

01/2022

Jan 31, 2022

Mar 26, 2024

KELLY, CRYSTAL, PORTILLO

CHIEF COMPLIANCE OFFICER

05/2015

Mar 21, 2016

Mar 26, 2024

City

State

Country

Employees

Also broker-dealer

Scottsdale

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$409M

n/a

2024

Mar 27, 2025

$361M

n/a

2023

Mar 26, 2024

$371M

n/a

2022

Mar 22, 2023

$342M

n/a

2021

Mar 31, 2022

$338M

n/a

2020

Mar 18, 2021

$354M

n/a

2019

Mar 31, 2020

$316M

n/a

2018

Mar 29, 2019

$288M

n/a

2017

Mar 23, 2018

$270M

n/a

2016

Mar 27, 2017

$260M

$259M

n/a

2015

Mar 21, 2016

$279M

$278M

n/a

2014

Mar 25, 2015

$282M

$281M

n/a

2013

Mar 24, 2014

$271M

$270M

n/a

2012

Mar 28, 2013

$267M

$266M

n/a

2011

Mar 30, 2012

$215M

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

$409M

$361M

13.5%

$342M

6.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ATTESSA CAPITAL LLC

Jan 8, 2020

Jan 13, 2020

TUCSON, AZ

Firm absorbed

RIA to RIA

60.0%