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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STERLING FINANCIAL ADVISORS, LLC

CRD 107783

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:c0fc9e88-c24c-e06f-3b9c-cb18aa17a0d1

Data as of Mar 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2012 to Mar 28, 2026
9 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=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $145MItem 5.F on the latest filing (2026-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $119M
Private client RAUM: $126MderivedItem 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: $36.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 321
Individual clients: 92
High net worth clients: 51
SEC number: 801-126400
CRD: 107783
Filings on the tape: 9
First filed: Mar 26, 2012
Latest filed: Mar 28, 2026
Organised: Limited Liability Company, NE
Website: sterlingfinancialworld.com

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 RUSSELL DEE	n/a	OMAHA, NE	13	14	n/a	no
JOSEPH BAYLESS	n/a	OMAHA, NE	4	39	4	no
MICHAEL JOHN BUTKUS	n/a	OMAHA, NE	0	42	2	no
MARY H JOCHIM	n/a	OMAHA, NE	0	46	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
BAYLESS, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Jul 18, 2022	Mar 28, 2024
JOCHIM, MARY, H	President	E	yes	03/1998	Mar 26, 2012	Mar 28, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	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 28, 2026	$145M	$119M	4	4	2	n/a	n/a
2024	Mar 27, 2025	$143M	$127M	4	4	2	n/a	n/a
2023	Mar 28, 2024	$123M	$114M	4	4	2	n/a	n/a
2022	Mar 28, 2023	$95.8M	$86.6M	4	4	2	n/a	n/a
2011	Mar 26, 2012	$30.0M	$24.0M	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
1	0	1	0.0%	0	0	0	1	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	$145M	$143M	1.1%	$95.8M	14.7%	4	4	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OMAHA WEALTH MANAGEMENT, LLC	2	Dec 31, 2021	Jan 5, 2026	OMAHA, NE	Team lift out	Other	100.0%

Relationships

Registered with (5)

← MARY H JOCHIMAdvisorregistration: current employment
Jan 8, 2026 to presentfactForm ADV
← MICHAEL JOHN BUTKUSAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← JOSEPH BAYLESSAdvisorregistration: current employment
Jan 4, 2022 to presentfactForm ADV
← JOHN RUSSELL DEEAdvisorregistration: current employment
Apr 8, 2013 to presentfactForm ADV
← PAULINE JO QUINNAdvisorregistration: previous registration
Jul 13, 1999 to Nov 5, 2009factForm ADV

Controls (2)

← BAYLESS, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 18, 2022 to Mar 28, 2024factForm ADV
← JOCHIM, MARY, HOwnerPRESIDENT, ownership code E, individual
Mar 26, 2012 to Mar 28, 2024factForm ADV

Dated events

Occurred
Jul 18, 2022
First Form ADV filing
Sterling Financial Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago
Occurred
Jul 18, 2022
Control person joined
Joseph Bayless (Chief Compliance Officer) appeared on Schedule A of Sterling Financial Advisors, Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0fc9e88-c24c-e06f-3b9c-cb18aa17a0d1
First observed: Mar 26, 2012
Last observed: Mar 28, 2026 5 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 FINANCIAL ADVISORS, LLC

CRD 107783

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:c0fc9e88-c24c-e06f-3b9c-cb18aa17a0d1

Data as of Mar 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:45 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN RUSSELL DEE

n/a

OMAHA, NE

n/a

JOSEPH BAYLESS

n/a

OMAHA, NE

MICHAEL JOHN BUTKUS

n/a

OMAHA, NE

MARY H JOCHIM

n/a

OMAHA, NE

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAYLESS, JOSEPH

CHIEF COMPLIANCE OFFICER

yes

01/2022

Jul 18, 2022

Mar 28, 2024

JOCHIM, MARY, H

President

yes

03/1998

Mar 26, 2012

Mar 28, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 28, 2026

$145M

$119M

n/a

2024

Mar 27, 2025

$143M

$127M

n/a

2023

Mar 28, 2024

$123M

$114M

n/a

2022

Mar 28, 2023

$95.8M

$86.6M

n/a

2011

Mar 26, 2012

$30.0M

$24.0M

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

$145M

$143M

1.1%

$95.8M

14.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OMAHA WEALTH MANAGEMENT, LLC

Dec 31, 2021

Jan 5, 2026

OMAHA, NE

Team lift out

Other

100.0%