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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STERLING FINANCIAL PLANNING INC

CRD 108664

SPARTA, NJ

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:d2fbd5eb-bc9c-9e6f-3946-8da3e42e06e1

Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Mar 19, 2012 to Sep 8, 2026
31 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $761MItem 5.F on the latest filing (2026-09-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $488M
Private client RAUM: $742MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $95.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,639
Individual clients: 350
High net worth clients: 212
Custody, client assets: $304M
SEC number: 801-56025
CIK: 1844278
CRD: 108664
Filings on the tape: 31
First filed: Mar 19, 2012
Latest filed: Sep 8, 2026
Organised: Corporation, NJ
Website: sterlingadvice.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
MATTHEW JOSEPH HANNUM	Certified Financial Planner\|Chartered Financial Analyst	SPARTA, NJ	22	23	n/a	no
NICHOLAS ANTHONY NICOLETTE	Certified Financial Planner	SPARTA, NJ	21	43	1	no
GLEN ANDREW THOMAS	Chartered Financial Analyst	SPARTA, NJ	19	36	1	no
ROSS DAVID WEINER	Certified Financial Planner	SPARTA, NJ	18	19	n/a	no
DEANNA IANNUZZI	n/a	SPARTA, NJ	16	35	n/a	no
CONSTANCE PAULA MILLAHN	Certified Financial Planner	SPARTA, NJ	7	14	2	no
Cal Christopher Cacciaguida	Certified Financial Planner	SPARTA, NJ	3	12	2	no
Richard Sanchez	n/a	SPARTA, NJ	0	10	3	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
HANNUM, MATTHEW, JOSEPH	Secretary	C	yes	01/2019	Jan 17, 2019	Mar 20, 2024
NICOLETTE, NICHOLAS, ANTHONY	PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	03/2022	Mar 19, 2012	Mar 20, 2024
THOMAS, GLEN, ANDREW	Treasurer	B	yes	03/2022	Jan 17, 2019	Mar 20, 2024
WEINER, ROSS, DAVID	Shareholder	B	no	01/2019	Jan 17, 2019	Mar 20, 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 27, 2026	$761M	$488M	8	8	0	n/a	n/a
2024	Mar 26, 2025	$672M	$429M	8	7	0	n/a	n/a
2023	Mar 20, 2024	$623M	$405M	8	7	0	n/a	n/a
2022	Mar 16, 2023	$549M	$359M	6	6	0	n/a	n/a
2021	Mar 13, 2022	$622M	$376M	7	7	0	n/a	n/a
2020	Mar 3, 2021	$540M	$189M	7	7	0	n/a	n/a
2019	Mar 17, 2020	$469M	$151M	8	8	0	n/a	n/a
2018	Feb 27, 2019	$422M	$123M	9	9	0	n/a	n/a
2017	Mar 15, 2018	$437M	$110M	9	9	0	n/a	n/a
2016	Mar 17, 2017	$408M	$85.6M	9	9	n/a	n/a	n/a
2015	Mar 8, 2016	$379M	$40.0M	9	9	n/a	n/a	n/a
2014	Mar 12, 2015	$380M	$5.0M	9	9	n/a	n/a	n/a
2013	Feb 3, 2014	$357M	$2.9M	8	8	n/a	n/a	n/a
2012	Mar 21, 2013	$320M	$0	8	8	n/a	n/a	n/a
2011	Mar 19, 2012	$290M	$0	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	$761M	$672M	13.2%	$549M	11.5%	8	8	0	0

Relationships

Registered with (8)

← Richard SanchezAdvisorregistration: current employment
Oct 9, 2025 to presentfactForm ADV
← Cal Christopher CacciaguidaAdvisorregistration: current employment
Aug 15, 2023 to presentfactForm ADV
← CONSTANCE PAULA MILLAHNAdvisorregistration: current employment
Jul 10, 2019 to presentfactForm ADV
← DEANNA IANNUZZIAdvisorregistration: current employment
Apr 30, 2010 to presentfactForm ADV
← ROSS DAVID WEINERAdvisorregistration: current employment
Mar 26, 2008 to presentfactForm ADV
← GLEN ANDREW THOMASAdvisorregistration: current employment
Jul 10, 2007 to presentfactForm ADV
← NICHOLAS ANTHONY NICOLETTEAdvisorregistration: current employment
Jul 15, 2005 to presentfactForm ADV
← MATTHEW JOSEPH HANNUMAdvisorregistration: current employment
Apr 5, 2004 to presentfactForm ADV

Controls (3)

← NICOLETTE, NICHOLAS, ANTHONYOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 19, 2012 to Mar 20, 2024factForm ADV
← THOMAS, GLEN, ANDREWOwnerTREASURER, ownership code B, individual
Jan 17, 2019 to Mar 20, 2024factForm ADV
← HANNUM, MATTHEW, JOSEPHOwnerSECRETARY, ownership code C, individual
Jan 17, 2019 to Mar 20, 2024factForm ADV

Owns (1)

← WEINER, ROSS, DAVIDOwnerSHAREHOLDER, ownership code B, individual
Jan 17, 2019 to Mar 20, 2024factForm ADV

Dated events

Occurred
Mar 13, 2022
Control person left
Robert Bruce Tucker (President And Chief Compliance Officer) no longer on Schedule A of Sterling Financial Planning Inc (listed 2021-11-03, absent 2022-03-13)
Form ADVobserved 4 days ago
Occurred
Jan 17, 2019
Control person left
Walter Stephen Wescott (Secretary) no longer on Schedule A of Sterling Financial Planning Inc (listed 2018-10-31, absent 2019-01-17)
Form ADVobserved 4 days ago
Occurred
Jan 17, 2019
Control person joined
Andrew Glen Thomas (Vice President) appeared on Schedule A of Sterling Financial Planning Inc
Form ADVobserved 4 days ago
Occurred
Jan 17, 2019
Control person joined
Joseph Matthew Hannum (Secretary) appeared on Schedule A of Sterling Financial Planning Inc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2fbd5eb-bc9c-9e6f-3946-8da3e42e06e1
First observed: Mar 19, 2012
Last observed: Sep 8, 2026 11 days 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 PLANNING INC

CRD 108664

SPARTA, NJ

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:d2fbd5eb-bc9c-9e6f-3946-8da3e42e06e1

Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MATTHEW JOSEPH HANNUM

Certified Financial Planner|Chartered Financial Analyst

SPARTA, NJ

n/a

NICHOLAS ANTHONY NICOLETTE

Certified Financial Planner

SPARTA, NJ

GLEN ANDREW THOMAS

Chartered Financial Analyst

SPARTA, NJ

ROSS DAVID WEINER

Certified Financial Planner

SPARTA, NJ

n/a

DEANNA IANNUZZI

n/a

SPARTA, NJ

n/a

CONSTANCE PAULA MILLAHN

Certified Financial Planner

SPARTA, NJ

Cal Christopher Cacciaguida

Certified Financial Planner

SPARTA, NJ

Richard Sanchez

n/a

SPARTA, NJ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HANNUM, MATTHEW, JOSEPH

Secretary

yes

01/2019

Jan 17, 2019

Mar 20, 2024

NICOLETTE, NICHOLAS, ANTHONY

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

03/2022

Mar 19, 2012

Mar 20, 2024

THOMAS, GLEN, ANDREW

Treasurer

yes

03/2022

Jan 17, 2019

Mar 20, 2024

WEINER, ROSS, DAVID

Shareholder

01/2019

Jan 17, 2019

Mar 20, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$761M

$488M

n/a

2024

Mar 26, 2025

$672M

$429M

n/a

2023

Mar 20, 2024

$623M

$405M

n/a

2022

Mar 16, 2023

$549M

$359M

n/a

2021

Mar 13, 2022

$622M

$376M

n/a

2020

Mar 3, 2021

$540M

$189M

n/a

2019

Mar 17, 2020

$469M

$151M

n/a

2018

Feb 27, 2019

$422M

$123M

n/a

2017

Mar 15, 2018

$437M

$110M

n/a

2016

Mar 17, 2017

$408M

$85.6M

n/a

2015

Mar 8, 2016

$379M

$40.0M

n/a

2014

Mar 12, 2015

$380M

$5.0M

n/a

2013

Feb 3, 2014

$357M

$2.9M

n/a

2012

Mar 21, 2013

$320M

n/a

2011

Mar 19, 2012

$290M

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

$761M

$672M

13.2%

$549M

11.5%